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FINRA disciplinary action update 2024/10

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Thomas Hyrkiel

3 min read
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Disciplinary decisions issued March 9 – 15, 2024.

Former products representative suspended and fined for allegedly falsifying customer signatures

The names of 65 customers were signed on a total of 121 account documents. Two names on two documents were signed without the customers’ permission. All of the transactions were authorized and none of the customers complained.

Securities representative suspended and

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