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Wedbush Securities Charged by FINRA With Systemic Market Access Violations, Anti-Money Laundering and Supervisory Deficiencies

The Financial Industry Regulatory Authority (FINRA) announced that it has filed a complaint against Los Angeles-based Wedbush Securities Inc. for systemic supervisory and anti-money laundering (AML) violations in connection with providing direct market access and sponsored access to broker-dealers and non-registered market participants. During the period at issue, Wedbush was one of the securities industry’s […]

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Aidikoff, Uhl & Bakhtiari Partner Ryan Bakhtiari to Speak at 2014 PLI Securities Arbitration Program

Aidikoff, Uhl & Bakhtiari partner Ryan Bakhtiari has been invited to participate as a speaker at the 2014 Practicing Law Institute (PLI) conference program on Thursday, July 31, 2014. The PLI Securities Arbitration program is held at the PLI New York Center and also online by webcast.  The program brings together legal professionals with securities […]

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SEC charges Bitcoin promoter with offering unregistered securities

The Securities and Exchange Commission today charged the co-owner of two Bitcoin-related websites for publicly offering shares in the two ventures without registering them.   An SEC investigation found that Erik T. Voorhees published prospectuses on the Internet and actively solicited investors to buy shares in SatoshiDICE and FeedZeBirds.  But he failed to register the offerings […]

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Aidikoff, Uhl & Bakhtiari files Securities and Exchange Commission comments on FINRA Rule 2081 regarding expungement

Aidikoff, Uhl & Bakhtiari partners, Philip M. Aidikoff and Ryan K. Bakhtiari, have filed comments with the Securities and Exchange Commission concerning proposed FINRA Rule 2081 (Prohibited Conditions Relating to Expungement of Customer Dispute Information).  Proposed Rule 2081 seeks to add additional safeguards to the expungement process by prohibiting the conditioning of the settlement of […]

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Aidikoff, Uhl & Bakhtiari partner Ryan Bakhtiari to Speak at 2014 FINRA Annual Conference

Aidikoff, Uhl & Bakhtiari partner Ryan Bakhtiari has been invited to participate as a speaker at the 2014 FINRA Annual Conference program on Monday, May 19, 2014 titled “Arbitration, Expungement and Arbitrator Disclosure.”  The FINRA Annual Conference is held between May 19, 2014 and May 21, 2014 at the Renaissance Washington, DC Hotel.  The conference […]

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