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FINRA disciplinary action update #22

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

Disciplinary decisions issued July 14 – July 20, 2023.

Former securities representative suspended and fined for allegedly making unsuitable investment recommendations

In addition order tickets for 150 solicited sale transactions were marked as “unsolicited”, resulting in the firm failing to maintain accurate books and records. A restitutionary payment of $129,496 plus interest has been ordered.

Former securities representative suspended and fined

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