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Category Wedbush Securities

Wedbush Securities Fraud and/or Investment Loss Customer Complaint Disclosures

May 11, 2021

Wedbush Securities: CRD#: 877/SEC#: 801-6358,8-12987 The firm is headquartered in Los Angeles, California. It was founded by Edward W. Wedbush in 1955. It is the parent company of Wedbush Capital Partners. Wedbush Securities holds 52 licenses for U.S. States and Territories and there have been 174 disclosures made against them as of 2020.

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

March 15, 2020

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”

December 1, 2019

  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

November 9, 2019

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),…

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