Vision Financial | Failure To Control Money Laundering & Manipulative Trading. Failure to Implement Risk Management Controls w/ High Risk Clients ~ FINRA Report | Vision was 1 of 6 Defaulting Firms January 28, 2021 - the Multi-Broker GME Buy Freeze (Other 5: Instinet, Robinhood, Axos, Wedbush, LEK)
Wedbush | 2019 "Failed To Establish, Document, & Maintain System Of Risk Management Controls" Adding to the Mounting Evidence That Risk Control Was Not Enforced Prior To The GME Buy Freeze. Wedbush was 1 of 6 defaulting firms on JAN 28, 2021. This FINRA doc is on 2015 Crimes ** Signed JAN 2023 ***