CFTC orders Wedbush Securities to pay $6M for use of unapproved communication methods
Wedbush admits the facts in the order and acknowledges the conduct violated the Commodity Exchange Act and CFTC regulations.
Wedbush Securities
Wedbush Securities appoints Michael Stone as Senior VP, Head of FX Prime Brokerage
Wedbush Securities expands into FX Prime Brokerage services directed by industry veteran, Michael Stone as Senior Vice President.
FINRA fines Wedbush Securities for deficient review of customers’ trading activities
Wedbush Securities Inc has agreed to pay a fine as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines Wedbush Securities for Regulation SHO violations
Financial Industry Regulatory Authority (FINRA) fines Wedbush Securities for alleged violations of Regulation SHO.
CME imposes $50,000 fine on Wedbush Securities
In accordance with a settlement offer, Wedbush Securities has agreed to pay a $50,000 fine.
Wedbush Securities hires Rodrigo Parrode as EVP, Head of Technology & Operations
Wedbush Securities welcomes Rodrigo Parrode as its Executive Vice President, Head of Technology & Operations.
CME Group fines Macquarie Futures and Wedbush Securities for recordkeeping violations
Macquarie Futures and Wedbush Securities were fined for violations of CME recordkeeping requirements.
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