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FINRA disciplinary action update 2024/41

Disciplinary decisions issued October 19 – 25, 2024.

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Thomas Hyrkiel

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

FINRA Rule 2010FINRA Rule 8210

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

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