FINRA Censures and Fines Wedbush Securities Inc. for Supervision
In the Matter of Wedbush Securities Inc., Respondent (FINRA AWC)
FINRA Fines and Suspends Rep for Outside Brokerage Account
In the Matter of Robert Joseph DeHayes, Respondent (FINRA AWC)
FINRA Censures and Fines H.C. Wainwright & Co for Net Capital Calculations
In the Matter of H.C. Wainwright & Co., LLC, Respondent (FINRA AWC)
FINRA Fines and Suspends Rep for Acting as Fiduciary
In the Matter of Royal Gregory Fisher, Respondent (FINRA AWC)
FINRA Censures and Fines Puma Capital LLC for Reg NMS Trade-Throughs
In the Matter of Puma Capital LLC, Respondent (FINRA AWC)
FINRA Fines and Suspends Rep for Mismarking Order Tickets as Unsolicited
In the Matter of Robert W. Clayton, Jr., Respondent (FINRA AWC)
FINRA Fines and Suspends Rep for Outside Securities Account
In the Matter of John Roddy Hughes, Respondent (FINRA AWC)