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Category: Wedbush Securities

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Wedbush Securities Terminated Financial Advisor, Marc Winters, Over Allegations Of Unauthorized Trading

Marc Winters (CRD # 4053113) was a Financial Advisor at Wedbush Securities in Los Angeles, CA. Marc Winters has been in the securities industry since 1999 and previously worked for UBS Financial Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on December 31, 2019, Wedbush Securities terminated Marc Winters […]

Wedbush Securities Terminated Financial Advisor Timothy Podell For Allegedly Engaging In “Discretionary Trading In Multiple Accounts Without Discretionary Forms On File”

  Timothy Podell (CRD #2691011) was a former Financial Advisor at Wedbush Securities in Los Angeles, California. Timothy Podell currently works for Western International Securities. Timothy Podell has been in the securities industry since 1996 and previously worked at AG Edwards. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on […]

Former Wedbush Securities Broker, Michael Steven Sims, Has Four Disclosed Customer Complaints, Including One Pending Complaint

Michael Steven Sims a/k/k Michael Sims (CRD # 1034180) was a Financial Advisor at Wedbush Securities in Santa Rosa, CA.  Michael Steven Sims a/k/k Michael Sims has been in the securities industry since 1982 and previously worked at Citigroup and Lehman Brothers. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

Wedbush Securities Financial Advisor, Scott Andersen, Has Pending $400,000 Customer Complaint, Alleging Conversion And Fraud

Scott Andersen (CRD # 4412679) is a Financial Advisor at Wedbush Secureities in Roseville, California.  Scott Andersen has been in the securities industry since 2001 and previously worked at Morgan Stanley.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in May 2019, a customer filed a complaint against Scott Andersen, […]