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wedbush securities finra problems

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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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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