U.S. Securities and Exchange Commission building in Washington, D.C. Jan. 5. Photo: Diego M. Radzinschi/ALM
The SEC has hit another financial institution with a multimillion-dollar penalty over alleged abusive ADR prerelease practices.
June 18, 2019 at 06:16 PM
1 minute read
Wedbush Securities Inc. has settled with the U.S. Securities and Exchange Commission for more than $8.1 million over charges the financial services company mishandled prereleased American depository receipts, the agency announced Tuesday.
It is the latest in a series of SEC settlements as the agency carries on an investigation into financial institutions’ mishandling of American depository receipts, a U.S. depository bank-issued certificate representing shares in a foreign companies’ stock.
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