Between September 2023 and May 2024, while registered with FINRA, Householder engaged in an outside business activity for compensation without providing written notice to Merrill Lynch. As a result, Householder violated FINRA Rules 3270 and 2010 and is suspended for six months and fined $7,500.

Between June 2018 and December 2022, Wedbush violated Section 15(c)(3) of the Securities Exchange Act of 1934, Exchange Act Rule 15c3-3 and FINRA Rule 2010 by failing to maintain possession or control of customers' fully paid and excess margin securities.