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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SEC Charges Brokers Michael Horowitz, Moshe Marc Cohen with $80 Million Variable Annuity Fraud
Cetera Financial Group & Cetera Advisors Paid $4.2 Million Over Mutual Fund Misconduct
KIRN Radio Personality Tony Barouti (Barouti Financial) Under Investigation Over Possible GWG Holdings L Bond Sales
Morgan Stanley's Barry Garapedian Accused of Unsuitable Recommendations Causing Millions in Damages
SEC Charges Joseph Bronson's Strong Investment Management with Cherry Picking Fraud, Misrepresentation

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