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FINRA disciplinary action update 2024/15

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

Thomas Hyrkiel

<1 min read

Disciplinary decisions issued April 13 – 19, 2024.

Former associated person suspended and fined for alleged unauthorized discretionary trading in customer accounts

FINRA Rule 2010 FINRA Rule 3260 NASD Rule 2510

Flow Traders censured and fined for alleged financial risk management failures

The firm did not put in place reasonably designed pre-set capital thresholds and supervisory procedures. The

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