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FINRA disciplinary action update 2024/13

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

Thomas Hyrkiel

2 min read

Disciplinary decisions issued March 30 – April 5, 2024.

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

FINRA Rule 2010 FINRA Rule 8210

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

FINRA Rule 2010 FINRA Rule 8210

Securities representative suspended and fined for allegedly falsely certifying that she had personally completed

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