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FINRA disciplinary action update 2025/17

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

Thomas Hyrkiel

3 min read

Disciplinary decisions issued May 3 – 9, 2025.

Former securities representative suspended and fined for allegedly engaging in an outside business activity without notice or approval

FINRA Rule 2010FINRA Rule 3270

Securities representative suspended and fined for alleged Reg BI violations

The representative recommended a series of trades to a customer that were excessive, unsuitable and not in

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