Posts In Net Capital Violation

Wedbush Fined $1.5 Million Over Customer Protection and Supervisory Failures Feb 12
FINRA fined Los Angeles-headquartered brokerage Wedbush Securities Inc $1.5 million for supervisory ...
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Charles Schwab Fined $2 Million for Significant Net Capital and Supervisory Deficiencies Aug 26
FINRA fined Charles Schwab & Co., Inc. $2 million for multiple net capital deficiencies which ...
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Kai Chen Fined & Suspended for Unauthorized Use of Discretion at Credit Suisse
SEC Complaint Cites Former Oppenheimer Rep John Woods for Massive $110 Million Horizon Private Equity Ponzi Scheme Targeting Elderly Retirees
Cetera Financial Group & Cetera Advisors Paid $4.2 Million Over Mutual Fund Misconduct
My Financial Girlfriend CEO Lisa Brumm Sanctioned for Unsuitable Variable Annuity Recommendations
The Securities-Based Loan Margin Call Is "Exactly The Risk We Are Focused On," Says FINRA

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