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December 07, 2023
Christopher Kennedy of Western International Securities Barred for Excessive Churning Resulting in $2.3 Million in Losses
October 24, 2023
Daniel King Cited for Unsuitable Recommendations on Margin Resulting in Damages
January 25, 2019
Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California
September 15, 2022
SagePoint Financial Sanctioned for Supervisory Failures, Excessive Margin for Elderly Client
August 20, 2020
Wedbush's David Hirons Accused of Unauthorized Trading
April 20, 2020
Wedbush Broker James Richards Cited for Supervision Failure Over Multi-Million Dollar Margin Deficits
April 16, 2020
CFP Board Suspends California's Michael Altobell & Richard LaBare
March 25, 2020
Margin Trading and Complex Leveraged Products Could Amplify Losses During Coronavirus Commotione
