Soreide Law Group obtained the following information on FINRA’s Disciplinary Actions for January, 2016: Wedbush Securities Inc. (CRD #877, Los Angeles, California) was censured, fined $130,000, and required to remediate its supervisory violations. Wedbush Securities Inc. allegedly created and produced to FINRA staff-falsified and misleading documents, in connection with the staff’s review of the firm’s […]

Recently FINRA, the Financial Industry Regulatory Authority, reissued an alert to investors on municipal securities—including municipal bonds or "muni bonds." These municipal bonds are securities issued by states, cities, counties and other governmental entities so that they can raise money to build roads, schools and a many other projects. Municipal securities can also include bonds […]