Tag Archives: Wedbush

Edward Wedbush Under Regulatory Scrutiny by NYSE Concerning Allegations of Failure to Supervise Certain Trades

On October 16, 2017, NYSE Regulation — the regulatory enforcement subsidiary of NYSE Arca, Inc. (“NYSE”) — filed a Complaint against Wedbush Securities Inc. (“Wedbush”) (CRD# 877), and its founder, Mr. Edward Wedbush.  The Complaint centers on Wedbush’s alleged systemic … Continue reading

Posted in Securities Law | Tagged , , , , , , , , , , , | Leave a comment

SEC ALJ Denies Disqualification of Wedbush Lawyer

Big problems often arise from small problems — it's the mushroom effect. How often have you found yourself in a mess that you never quite saw coming? When you trace your steps back to see where it all went wrong, … Continue reading

Posted in Banking and Finance law | Tagged , , , | Leave a comment

SEC Charges Wedbush Securities in Connection to Alleged Pump-and-Dump Scheme

Publicly available records provided by the Securities and Exchange Commission (SEC), as well as a March 27, 2018 report by Investment News indicate that the SEC has charged Wedbush Securities in connection to alleged supervisory failures. Fitapelli Kurta is interested … Continue reading

Posted in Securities Law | Tagged , , , , , , | Leave a comment

SEC Formally Charges Wedbush Securities Over Claims Brokerage Firm Failed to Supervise Timary Delorme

On March 27, 2018, the Securities and Exchange Commission (“SEC”) announced formal charges against Wedbush Securities Inc. (“Wedbush”, CRD# 877) with respect to allegations that the broker-dealer failed to supervise its employee, Ms. Timary Delorme (f/k/a Timary Koller) (“Delorme”).  Based … Continue reading

Posted in Securities Law | Tagged , , , , , , , , , , , | Leave a comment