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FINRA disciplinary action update #19

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

Thomas Hyrkiel

1 min read

Disciplinary decisions issued June 23 – June 29, 2023.

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

FINRA Rule 2010 FINRA Rule 8210

Securities representative suspended and fined for allegedly engaging in excessive and unsuitable trading in two customer accounts

A restitution payment of $27,622 plus interest has also been ordered.

FINRA Rule 2010 FINRA Rule 2111
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