Edward William Wedbush

08/12/2016: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 78568 / August 12, 2016 Admin. Proc. File No. 3-16329 In the Matter of the Application of WEDBUSH SECURITIES, INC. and EDWARD WILLIAM WEDBUSH For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION-REVIEW OF DISCIPLINARY PROCEEDINGS Member firm committed 158 regulatory reporting violations, and member firm and its president failed to reasonably

08/02/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WEDBUSH SECURITIES, INC. (CRD No. 877), and EDWARD WILLIAM WEDBUSH (CRD No. 461221), Respondents. Disciplinary Proceeding No. 20070094044 Hearing Officer - LBB EXTENDED HEARING PANEL DECISION Dated: August 2, 2012 Respondent Wedbush Securities, Inc. is fined $300,000 for reporting failures with respect to Forms U4 and U5, NYSE Forms RE-3, and NASD Rule 3070; and for failure to supervise its

12/11/2014: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY In the Matter Department of Enforcement, Complainant, Wedbush Securities, Inc. Los Angeles, CA, and Edward William Wedbush Los Angeles, CA, Respondents. DECISION Complaint No. 20070094044 Dated: December 11, 2014 Member firm committed regulatory reporting failures with respect to Forms U4 and U5, NYSE Forms RE-3, and statistical reporting concerning customer complaints. Member firm and its

Reference 2007009404401data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org