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FINRA disciplinary action update 2024/20

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Thomas Hyrkiel

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Disciplinary decisions issued May 18 – 24, 2024.

Products principal suspended and fined for allegedly engaging in outside business activity without providing written notice to his firm

Paulson Investment Company censured and fined for allegedly failing to file required information and documents in connection with public offerings

The firm failed to:

  • file documents and information for two takedown
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