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FINRA disciplinary action update #18

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Photo: Getty Images

Thomas Hyrkiel

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Disciplinary decisions issued June 16 – June 22, 2023.

Evercore Group censured and fined for allegedly failing to maintain adequate market access risk management controls and procedures

The firm’s documentation and supervisory system and procedure failures were connected to credit threshold, erroneous order controls and procedures and the documentation of soft block reviews and control limit modifications.

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