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FINRA disciplinary action update 2025/20

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

Disciplinary decisions issued May 24 – 30, 2025.

Former securities representative suspended and fined for allegedly failing to disclose felony charges on Form U4




Open to the Public Investing censured and fined for allegedly failing to reasonably supervise finfluencer communications

The firm paid 110 individuals to promote the firm through social media platforms. The resulting finfluencer posts resulted

However,

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