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FINRA disciplinary action update 2024/42

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

Thomas Hyrkiel

3 min read

Disciplinary decisions issued October 26 – November 1, 2024.

Former products representative barred for allegedly refusing to appear for on-the-record testimony

FINRA Rule 2010FINRA Rule 8210

Former securities representative suspended and fined for allegedly making investment recommendations that were not in the customer’s best interest

The recommendations to purchase closed-end funds were not consistent with the customer’s investment profile,

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