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January 25, 2016
Wedbush Securities Inc. Censured and Fined $130K Over Muni Violations

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 […]

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