In the legal profession, information is the key to success. Wedbush Securities has been fined a total of $ 675,000 by the Financial Industry Regulatory Authority ( FINRA ) and the Nasdaq Stock Market , over its role in a client 's financial activity and use of leveraged exchange - traded funds ; these actions reportedly led to it failing to honour its investment obligations .
Wedbush Securities has been fined a total of $ 675,000 by the Financial Industry Regulatory Authority ( FINRA ) and the Nasdaq Stock Market , over its role in a client 's financial activity and use of leveraged exchange - traded funds ; these actions reportedly led to it failing to honour its investment obligations .