FINRA disciplinary action update 2025/10

Disciplinary decisions issued March 8 – 14, 2025.

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


Sanctuary Securities censured and fined for alleged AML program shortcomings

Between January 2022 and July 2024 the firm did not have an AML program approved by senior management in place.

While the firm did maintain WSPs related to AML, these

Free Trial

Register for free to keep reading.

To continue reading this article and unlock full access to GRIP, register now. You’ll enjoy free access to all content until our subscription service launches in early 2026.

  • Unlimited access to industry insights
  • Stay on top of key rules and regulatory changes with our Rules Navigator
  • Ad-free experience with no distractions
  • Regular podcasts from trusted external experts
  • Fresh compliance and regulatory content every day
Register for free Already a member? Sign in