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FINRA disciplinary action update 2024/3

Disciplinary decisions issued January 20 – 26, 2024.

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Thomas Hyrkiel

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TerraNova Capital Equities censured and fined for allegedly selling unregistered securities

TerraNova served as placement agent for three private offerings claiming an exemption from registration. The issuers, however, did not file a Form D for each offering within the required time-period, and so failed to qualify the securities for the

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