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FINRA disciplinary action update #13

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

Thomas Hyrkiel

2 min read
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Disciplinary decisions issued May 12 – May 18, 2023.

Former securities representative barred for allegedly refusing to produce information and documents

Former securities representative suspended and fined for allegedly failing to disclose felonies on Form U4

Securities representative suspended and fined for allegedly attempting to impersonate a customer

In order to help a customer the representative misrepresented that he

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