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FINRA disciplinary action update #43

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Thomas Hyrkiel

2 min read
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Disciplinary decisions issued December 15 – 21, 2023.

Former products representative barred for allegedly refusing to provide documents and information

Former securities representative barred for allegedly refusing to provide on-the-record testimony

Elevation LLC censured and fined for alleged supervisory system failures

The firm did not have in place a surveillance and review system that would monitor for fraudulent

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