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2015-12-06T00:00:00.000Z

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Wrong Christina Fillhart?

Christina Fillhart R.

Senior Vice President

Wedbush Morgan Securities , Inc.

Direct Phone: (213) ***-****       

Email: c***@***.com

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Wedbush Morgan Securities , Inc.

1000 Wilshire Boulevard Suite 830

Los Angeles, California 90017

United States

Company Description

Founded in 1955, Wedbush Securities is a leading investment firm that provides brokerage, clearing, investment banking, equity research, public finance, fixed income sales and trading, and asset management to individual, institutional and issuing clients. ... more

Find other employees at this company (1,273)

Background Information

Web References (6 Total References)


The Enforcement Division ...

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.


Financial Firms :: Institutional Investor Securities Blog

www.institutionalinvestorsecuritiesblog.com [cached]

In June, the Securities and Exchange Commission filed similar charges against Wedbush, Jeffrey Bell, who is ex-EVP in charge of market access, and Christina Fillhart, a market access division Sr. VP.

...
His agency says that Jeffrey Bell, one of the firm's ex-EVPs, and Christina Fillhart, a Wedbush market access division Sr. VP, are to blame for causing the market access violations.


In the Wedbush case, the SEC ...

www.nwherald.com [cached]

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.


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


About Us

www.successionsys.com [cached]

The Enforcement Division blames the violations on Jeffrey Bell, the former EVP in charge of Wedbush's market access business, and Christina Fillhart, SVP in the market access division.

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