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FINRA disciplinary action update 2025/16

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Thomas Hyrkiel

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Disciplinary decisions issued April 26 – May 2, 2025.

Former products representative barred for allegedly refusing to appear for on-the-record testimony


Former securities principal barred for allegedly refusing to appear for on-the-record testimony


Former securities representative suspended and fined for allegedly making unsuitable recommendations to customers

The representative recommended 10 variable annuity exchanges to nine firm customers without a

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