Stockbroker Misconduct and Investment Fraud Blog

Drop in CFTC Enforcement Actions for 2017

Drop in CFTC Enforcement Actions for 2017

The U.S. Commodity Futures Trading Commission is seeing a drop in CFTC enforcement actions for 2017. The agency recently announced that it imposed nearly $413 million in sanctions this fiscal year, amounting to 49 enforcement actions during the...

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Wedbush Securities NYSE Complaint For Founder

Wedbush Securities NYSE Complaint For Founder

Los Angeles, California-based brokerage firm Wedbush Securities Inc. faces yet another regulatory complaint. NYSE Regulation has alleged that Wedbush Securities failed to supervise the trading activity of the firm’s owner and founder, Edward W...

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