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FINRA disciplinary action update 2025/20

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

Thomas Hyrkiel

1 min read

Disciplinary decisions issued May 24 – 30, 2025.

Former securities representative suspended and fined for allegedly failing to disclose felony charges on Form U4

FINRA Rule 1122FINRA Rule 2010FINRA By-Laws Article V

Open to the Public Investing censured and fined for allegedly failing to reasonably supervise finfluencer communications

The firm paid 110 individuals to promote the firm through

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