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FINRA disciplinary action update 2025/3

Montage of person walking by the FINRA sign.
GRIP Montage: Getty Images

Thomas Hyrkiel

2 min read

Disciplinary decisions issued January 18 – 24, 2025.

Former products representative barred for allegedly refusing to provide information or documents

FINRA Rule 2010FINRA Rule 8210

Former investment banking representative barred for allegedly refusing to respond to a request for documents and information

FINRA Rule 2010FINRA Rule 8210

UBS Financial Services censured and fined for alleged inaccurate transaction information

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