Skip to Primary Navigation

Skip to main content

FINRA disciplinary action update 2025/44

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

Thomas Hyrkiel

2 min read

Disciplinary decisions issued November 22 – 28, 2025.

Former securities representative suspended and fined for allegedly initiating electronic transfers from a brokerage account that lacked funds to cover these

FINRA Rule 2010FINRA Rule 3110SEA 1934 Rule 15c3-5

Former securities representative suspended and fined for alleged Reg BI violations

The representative recommended options transactions to a customer without having

, , , , , , , , , , , , , , , , , ,

Get full access, free for a month

This is a Premium article. Start your 28-day free trial to continue reading and access all content on GRIP – no payment details required.

Start free trial
Sign in

What’s included:

  • Every new article, plus our 6,000+ archive
  • Daily regulatory insight and guidance
  • Exclusive interviews and in-depth analysis
  • Coverage of industry-leading events and conferences
  • All podcasts and videos, featuring industry experts
  • The full set of Rules Navigator tools
  • An ad-free experience