FINRA disciplinary action update #3

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March 13, 20231 min read

Disciplinary decisions issued March 3 – 9, 2023.

Former securities representative fined and suspended for obtaining COVID-19 unemployment benefits while working

Aeon capital fined and censured for failing to maintain required minimum net capital levels and for failing to report these deficiencies to FINRA

Transamerica Capital fined for failing to register third party call center workers

Former securities

Disciplinary action, Enforcement, FINRA, FINRA Reg Notice 17-30, FINRA Rule 1210, FINRA Rule 1220, FINRA Rule 1230, FINRA Rule 2010, FINRA Rule 2111, FINRA Rule 2330, FINRA Rule 2360, FINRA Rule 3110, FINRA Rule 3280, FINRA Rule 4530, FINRA Rule 8210, Industry, SEA 1934 Rule 15(c), SEA 1934 Rule 17(a), SEC Reg SHO Rule 200, SEC Reg SHO Rule 203, US Content

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Enforcement

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FINRA disciplinary action update #7

April 12, 2023

Disciplinary decisions issued March 31 – April 6, 2023.

Enforcement

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