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FINRA disciplinary action update 2024/16

Disciplinary decisions issued April 20 – 26, 2024.

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Thomas Hyrkiel

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EarlyBirdCapital censured and fined for alleged FOCUS report shortcomings

The firm inaccurately calculated its aggregate indebtedness and net capital. This resulted in the filing of 16 FOCUS reports that over or understated the firm’s actual excess net capital. Despite the inaccurate calculations, the firm maintained sufficient net capital during the

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