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Wedbush Securities

Walter Hall-Former Coastal Equities Broker-Discloses 2 Terminations From Employment-Memphis, TN

Walter Hall-Former Coastal Equities Broker-Discloses 2 Terminations From Employment-Memphis, TN 150 150 ER

Walter S. Hall Investigation May 2022-Memphis, TN The FINRA records of Walter Scott Hall,  an unregistered broker, last employed with Coastal Equities, discloses 2 terminations from employment. The Financial Industry Regulatory…

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Chadwick Collins-Former Kestra Broker-Discloses Customer Disputes and a Termination-Carlsbad, CA

Chadwick Collins-Former Kestra Broker-Discloses Customer Disputes and a Termination-Carlsbad, CA 150 150 ER

Chadwick Collins Investigation May 2022-Carlsbad, CA The FINRA records of Chadwick Collins,  a Kestra Investment Services/Wedbush Securities broker discloses 3 pending customer disputes, 3 prior finalized customer disputes and a termination from employment.…

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Michael S. Sims-Former Wedbush Securities Broker- Discloses 4 Prior Customer Disputes and 1 Pending Customer Dispute- Santa Rosa, CA

Michael S. Sims-Former Wedbush Securities Broker- Discloses 4 Prior Customer Disputes and 1 Pending Customer Dispute- Santa Rosa, CA 150 150 Rex Securities Law

January 2020 – Santa Rosa, CA The FINRA records of Michael Stevan Sims, a stockbroker who was last employed by  Wedbush Securities, Inc., disclose   4 prior customer disputes. The Financial Industry Regulatory Authority…

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Mark Augusta- Hilltop Securities Broker- Discloses 15 Customer Disputes, 4 Pending Customer Disputes and a Termination from Employment – Del Mar, CA

Mark Augusta- Hilltop Securities Broker- Discloses 15 Customer Disputes, 4 Pending Customer Disputes and a Termination from Employment – Del Mar, CA 150 150 Rex Securities Law

March 2019 – Del Mar, CA According to publicly available records Mark Fred Augusta  (CRD#1333913) ,  a  stockbroker who is currently registered with Hilltop Securities, Inc.,  disclose  15 prior customer disputes, 4 pending customer…

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Larry M. Boggs-Former Ameriprise Broker-Sanctioned for Overtrading Accounts of Elderly Customers-Dallas, TX

Larry M. Boggs-Former Ameriprise Broker-Sanctioned for Overtrading Accounts of Elderly Customers-Dallas, TX 150 150 Rex Securities Law

November 2019-Dallas, TX Larry Martin Boggs,  a  former stockbroker who worked for Wedbush Securities and Ameriprise Financial Services in Dallas was permanently barred from the securities industry by FINRA in…

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Wedbush Securities Discloses Over 100 Regulatory Violations

Wedbush Securities Discloses Over 100 Regulatory Violations 150 150 Rex Securities Law

NOVEMBER 2019 UPDATE–Current FINRA records for Wedbush Securities disclose 109 regulatory events. In September 2019 FINRA censured Wedbush and ordered the company to disgorge nearly $2 million to resolve allegations…

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Wedbush Securities Ordered to Pay Customer $1.8M For Elder Abuse-Los Angeles, CA

Wedbush Securities Ordered to Pay Customer $1.8M For Elder Abuse-Los Angeles, CA 150 150 Rex Securities Law

Los Angeles, CA-July 2017 A Financial Industry Regulatory Authority (FINRA) arbitration panel comprised of three public arbitrators ordered Wedbush Securities to pay two former customers (husband and wife) compensatory damages…

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William F. Albin-former Waddell & Reed Broker-Discloses Discharge

William F. Albin-former Waddell & Reed Broker-Discloses Discharge 150 150 Rex Securities Law

July 2016- Las Vegas, NV According to publicly available records William F. Albin , (CRD# 1744984) ,  a  stockbroker who is currently unregistered discloses that he was discharged from Waddell & Reed, Inc. in July…

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Matthew J. Ronan-ViewTrade Securities Broker-Discloses Pending Regulatory Investigation

Matthew J. Ronan-ViewTrade Securities Broker-Discloses Pending Regulatory Investigation 150 150 Rex Securities Law

Boca Raton, Florida According to FINRA records, Matthew J. Ronan ,  a stock broker who works for ViewTrade Securities  discloses  a customer dispute that has been finalized and a pending regulatory investigation. The Financial…

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