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FINRA disciplinary action update 2024/1

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

Thomas Hyrkiel

2 min read

Disciplinary decisions issued January 1 – 12, 2024.

Former products representative suspended for allegedly cheating during an exam

The representative possessed and accessed unauthorized materials during the exam.

FINRA Rule 1210.05 FINRA Rule 2010

Former securities representative and principal suspended and fined for allegedly engaging in activities requiring registration while unregistered and statutorily disqualified

The representative was statutorily

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