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Recent Posts in Net Capital Violation Category

Wedbush Fined $1.5 Million Over Customer Protection and Supervisory Failures

FINRA fined Los Angeles-headquartered brokerage Wedbush Securities Inc $1.5 million for supervisory failures and for violating the SEC's customer protection and net capital rules. FINRA wrote that ...
Continue reading "Wedbush Fined $1.5 Million Over Customer Protection and Supervisory Failures" »

Charles Schwab Fined $2 Million for Significant Net Capital and Supervisory Deficiencies

FINRA fined Charles Schwab & Co., Inc. $2 million for multiple net capital deficiencies which occurred in 2014, and for failing to have procedures in place for interdepartmental communications. ...
Continue reading "Charles Schwab Fined $2 Million for Significant Net Capital and Supervisory Deficiencies" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
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