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FINRA disciplinary action update 2025/16

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

Thomas Hyrkiel

3 min read

Disciplinary decisions issued April 26 – May 2, 2025.

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

FINRA Rule 2010FINRA Rule 8210

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

FINRA Rule 2010FINRA Rule 82104

Former securities representative suspended and fined for allegedly making unsuitable recommendations to customers

The representative recommended

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