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FINRA Charges Wedbush Securities for Market Access Violations, Supervisory Deficiencies

Traders Magazine Online News, August 20, 2014

John D'Antona Jr.

The Financial Industry Regulatory Authority (FINRA) announced Monday that it has filed a complaint against Los Angeles-based Wedbush Securities Inc. for systemic supervisory and anti-money laundering (AML) violations in connection with providing direct market access and sponsored access to broker-dealers and non-registered market participants.

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