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FINRA disciplinary action update #27

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Thomas Hyrkiel

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Disciplinary decisions issued August 18 – August 31, 2023.

Network 1 Financial Securities censured and fined for alleged Regulation BI violations

The firm undertook only limited reviews of reports that potentially identified instances of excessive trading in customer accounts. In instances where excessive trading was potentially identified no steps were taken to investigate further or act on the results of

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