FINRA disciplinary action update 2024/32
Disciplinary decisions issued August 10 – 16, 2024.
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Securities representative barred for allegedly refusing to appear for on-the-record testimony
FINRA Rule 2010FINRA Rule 8210Former products representative barred for allegedly converting company funds for personal use
FINRA Rule 2010Product representative suspended and fined for allegedly falsely certifying that she had personally completed the continuing education required to
Compliance, Enforcement, FINRA, FINRA Reg Notice 09-05, FINRA Reg Notice 19-18, FINRA Rule 2010, FINRA Rule 2111, FINRA Rule 2210, FINRA Rule 2232, FINRA Rule 3110, FINRA Rule 3260, FINRA Rule 3310, FINRA Rule 4511, FINRA Rule 6730, FINRA Rule 8210, Industry, MSRB Rule G-15, MSRB Rule G-27, NASD NTM 02-21, SA 1933 Rule 5, SEA 1934 Rule 15l-1, SEC Reg BI, TRACE, US Content