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FINRA disciplinary action update 2025/14

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

Thomas Hyrkiel

4 min read

Disciplinary decisions issued April 5 – 18, 2025.

Former securities representative suspended and fined for allegedly falsifying customer signatures

Seven electronic signatures were appended to documents, two without the prior permission of the customers.

All the transactions were authorized and no customers complained.

FINRA Rule 2010FINRA Rule 4511

Former securities representative suspended and fined for allegedly exercising discretion

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