Skip to Primary Navigation

Skip to main content

FINRA disciplinary action update 2024/49

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

Thomas Hyrkiel

5 min read
Click to share on Facebook (Opens in new window/tab) Click to share on X (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 December 14 – 20, 2024.

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


Former securities representative suspended and fined for allegedly failing to disclose liens and judgements on Form U4


Securities representative charged with alleged unauthorized trading

The representative, who was also managing principal, CEO and COO of Old Slip Capital

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

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