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Aug. 20, 2014

Wedbush taps Morgan Lewis again in market access probe

Morgan, Lewis & Bockius LLP is defending Wedbush Securities Inc. against its second set of market access rule violation allegations this summer.


By Alison Frost


Daily Journal Staff Writer


Morgan, Lewis & Bockius LLP is defending Los Angeles-based brokerage firm Wedbush Securities Inc. against allegations of market access rule violations for the second time this summer.


Unanimously approved by the Securities and Exchange Commission in 2010, the market access rule, or Exchange Act Rule 15c3-5, requires brokers and dealers to implement risk controls prior to allowing their customers t...

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