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Wrong Christina Fillhart?

Christina R. Fillhart

Senior Vice President

Wedbush Securities Inc

HQ Phone:  (213) 688-8000

Direct Phone: (213) ***-****direct phone

Email: c***@***.com

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I agree to the Terms of Service and Privacy Policy. I understand that I will receive a subscription to ZoomInfo Community Edition at no charge in exchange for downloading and installing the ZoomInfo Contact Contributor utility which, among other features, involves sharing my business contacts as well as headers and signature blocks from emails that I receive.

Wedbush Securities Inc

1000 Wilshire Blvd. 7Th Floor

Los Angeles, California,90017

United States

Company Description

WEDBUSH is a leading financial services and investment firm that, through its holdings, provides private and institutional brokerage, investment banking, private capital, research, commercial banking, and asset management to individual, institutional and issui...more

Web References(8 Total References)


Vigilant Compliance, LLCSEC Announces Charges Against Wedbush Securities and Two Officials for Market Access Violations |

vigilantllc.com [cached]

The Enforcement Division alleges that the firm's violations of the market access rule were caused by Jeffrey Bell, the former executive vice president in charge of Wedbush's market access business, and Christina Fillhart, a senior vice president in the market access division.
Fillhart also had responsibility for overseeing Wedbush's market access business and received inquiries by exchanges about potential violations by Wedbush and its customers. Despite these red flags, Fillhart did not take adequate steps to prompt the firm to adopt reasonably designed risk management controls. According to the SEC's order, in addition to violating the market access rule (Securities Exchange Act Rule 15c3-5), Wedbush violated other regulatory requirements as a result of trading by its market access customers. These violations include Rule 203(b)(1) of Regulation SHO relating to short sales, Rule 611(c) of Regulation NMS related to intermarket sweep orders, Rule 17a-8 concerning anti-money laundering requirements, and Rule 17a-4(b)(4) concerning the preservation of records. The proceeding before an administrative law judge will determine whether Wedbush willfully violated these provisions of the federal securities laws, and whether Bell and Fillhart were causes of the firm's violations of the market access rule.


Clearing & Execution Leadership | Wedbush

www.wedbush.com [cached]

Christina Fillhart
Senior Vice President, Correspondent Services Division Christina Fillhart is a Senior Vice President in Wedbush's Correspondent Services Division. With thirty-one years of experience, she oversees the Correspondent Services Division's operations, accounting, compliance and regulatory departments. Prior to joining the team at Wedbush, Ms. Fillhart was a principal with several fully disclosed broker-dealers, some of which utilized Wedbush's clearing services. Additionally, she was an Operations Manager with Thomson McKinnon Securities, and worked in various capacities with E.F. Hutton & Co., and in First Interstate Bank's trust division. Ms. Fillhart earned her Bachelor's degree in Psychology from California State University, Los Angeles and holds the Series 7, 63, 24, 27 and 53 licenses with FINRA. In her spare time, she enjoys travelling, spending time with friends and family, reading and knitting. Ms. Fillhart is the proud mother of two daughters.


SEC Administrative Proceedings - Coral Capital Partners, Inc. | Coral Capital Partners, Inc.

coralcapital.com [cached]

Wedbush Securities Inc., Jeffrey Bell and Christina Fillhart
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934 as to Christina Fillhart Wedbush Securities Inc., Jeffrey Bell and Christina Fillhart Wedbush Securities Inc., Jeffrey Bell and Christina Fillhart


vigilantllc.com

The Enforcement Division alleges that the firm's violations of the market access rule were caused by Jeffrey Bell, the former executive vice president in charge of Wedbush's market access business, and Christina Fillhart, a senior vice president in the market access division.
Fillhart also had responsibility for overseeing Wedbush's market access business and received inquiries by exchanges about potential violations by Wedbush and its customers. Despite these red flags, Fillhart did not take adequate steps to prompt the firm to adopt reasonably designed risk management controls. According to the SEC's order, in addition to violating the market access rule (Securities Exchange Act Rule 15c3-5), Wedbush violated other regulatory requirements as a result of trading by its market access customers. These violations include Rule 203(b)(1) of Regulation SHO relating to short sales, Rule 611(c) of Regulation NMS related to intermarket sweep orders, Rule 17a-8 concerning anti-money laundering requirements, and Rule 17a-4(b)(4) concerning the preservation of records. The proceeding before an administrative law judge will determine whether Wedbush willfully violated these provisions of the federal securities laws, and whether Bell and Fillhart were causes of the firm's violations of the market access rule.


www.nwherald.com

In the Wedbush case, the SEC also charged Jeffrey Bell, a former executive vice president of the firm, and Christina Fillhart, a senior vice president.
A Wedbush spokesman and attorneys for the firm, Fillhart and Bell didnt immediately return telephone calls and messages seeking comment.


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