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FINRA disciplinary action update #21

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

Disciplinary decisions issued July 7 – July 13, 2023.

Products representative suspended and fined for allegedly failing to disclose a felony charge on Form U4

Products representative charged with allegedly making unsuitable recommendations to customers

The representative also falsified the customers’ risk tolerance, annual income and other relevant information that would have precluded them from investing in the