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Wedbush Morgan Securities, Inc.

Wedbush Morgan Securities, Inc. (CRD #877, Los Angeles, California) received a censure and fine of $15,000. Additionally, the firm was required to revise the firm's written supervisory procedures regarding firm quote compliance. According to the findings, the firm failed to execute orders upon presentment and thereby failed to honor its published quotation. The regulators also found that the firm's supervisory system failed to provide adequate supervision to achieve compliance with applicable securities laws and regulations concerning firm quote compliance. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS020210)

Did Wedbush Morgan Securities, Inc. manage your investments?



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