Skip to Primary Navigation

Skip to main content

FINRA disciplinary action update 2024/41

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

Thomas Hyrkiel

3 min read
 Click to share on Facebook (Opens in new window/tab) Click to share on Twitter (Opens in new window/tab) Click to share on LinkedIn (Opens in new window/tab) Click to share on WhatsApp (Opens in new window/tab)

Disciplinary decisions issued October 19 – 25, 2024.

Former associated person barred for allegedly refusing to provide documents and information


Fenix Securities censured and fined for alleged compliance failings connected with nonregistered foreign individuals and its AML program

The firm permitted foreign individuals, not registered with FINRA in any capacity, to conduct securities business using the firm’s trading

, , , , , , , , , , , , , , , , ,

Get full access, free for a month

This is a Premium article. Start your 28-day free trial to continue reading and access all content on GRIP – no payment details required.

Start free trial Sign in

What’s included:

  • Every new article, plus our 5,000+ archive
  • Daily regulatory insight and guidance
  • Exclusive interviews and in-depth analysis
  • Coverage of industry-leading events and conferences
  • All podcasts and videos, featuring industry experts
  • The full set of Rules Navigator tools
  • An ad-free experience