FINRA disciplinary action update 2024/49
Disciplinary decisions issued December 14 – 20, 2024.
Premium article
Former securities representative barred for allegedly refusing to appear for on-the-record testimony
FINRA Rule 2010FINRA Rule 8210Former securities representative suspended and fined for allegedly failing to disclose liens and judgements on Form U4
FINRA Rule 1122FINRA Rule 2010Securities representative charged with alleged unauthorized trading
The representative, who was
Compliance, Enforcement, FINRA, FINRA Rule 1122, FINRA Rule 2010, FINRA Rule 2040, FINRA Rule 2121, FINRA Rule 2121.01, FINRA Rule 3110, FINRA Rule 4511, FINRA Rule 6730, FINRA Rule 8210, FINRA Rule 8211, FINRA Rule 8213, Industry, SEA 1934 Rule 15l-1, SEA 1934 Rule 17a-3, SEC Reg BI, TRACE, US Content