Skip to Primary Navigation

Skip to main content

FINRA disciplinary action update #12

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

Thomas Hyrkiel

1 min read
 Click to share on Facebook (Opens in new window/tab) Click to share on Twitter (Opens in new window/tab) Click to share on LinkedIn (Opens in new window/tab) Click to share on WhatsApp (Opens in new window/tab)

Disciplinary decisions issued May 5 – May 11, 2023.

William O’Neil Securities censured and fined for alleged supervisory failures

The firm failed to record or reasonably supervise two private securities transactions. It also did not disclose a number of non-securities-related outside business activities by its registered representatives.

Arque Capital censured and fined for alleged net capital deficiencies

The

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

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