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Wendi DuBois Subject of Regulatory Action by State of Washington

Wendi DuBois (CRD #: 5240475), a broker registered with Wedbush Securities, is the subject of a pending regulatory action, according to her BrokerCheck record, accessed on July 9, 2022. Keep reading if you have questions about Wendi DuBois’s conduct as a broker.

Regulatory Action by State of Washington

On May 23, 2022, the State of Washington Department of Financial Institutions filed a regulatory action against Wendi Dubois alleging that she made off-the-books payments to a colleague at UBS Financial Services in knowing violation of firm policy. She also allegedly concealed these payments on multiple compliance questionnaires.

The statement of charges states the Securities Division’s intent to suspend Wendi Dubois’ registrations for one month and impose a fine of $2,500. 

This action is currently pending.

Background Information

Wendi DuBois has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Wendi DuBois is a registered broker and a registered investment adviser in Washington.

She has also worked for the following firms:

  • UBS Financial Services (CRD#:8174)
  • Morgan Stanley (CRD#:149777)
  • Citigroup Global Markets (CRD#:7059)

Kurta Law Can Help

If you worked with Wendi DuBois and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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