Skip to Primary Navigation

Skip to main content

FINRA disciplinary action update #28

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

Thomas Hyrkiel

1 min read

Disciplinary decisions issued September 1 – 7, 2023.

Securities representative suspended and fined for allegedly exercising discretionary authority without prior written authorization from customers

FINRA Rule 2010 FINRA Rule 3260

Traderfield Securities censured and fined for alleged supervisory system and supervision failings

During the period in question two registered persons associated with the firm “owned and received a

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

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 5,000+ 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