Skip to Primary Navigation

FINRA disciplinary action update 2025/22

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

Disciplinary decisions issued June 7 – 13, 2025.

Investment banking representative charged with allegedly converting funds and failing to appear for on-the-record testimony

The representative charged personal, non-business expenses to his corporate credit cart without authorization from his employer, and submitted false expense reports identifying these as legitimate business expenses in order to secure payment of them by

Get full access, free for a month

This is a Premium article. Start your 28-day free trial to continue reading and access all content on GRIP – no payment details required.

What’s included:

  • Every new article, plus our 5,000+ archive
  • Daily regulatory insight and guidance
  • Exclusive interviews and in-depth analysis
  • Coverage of industry-leading events and conferences
  • All podcasts and videos, featuring industry experts
  • The full set of Rules Navigator tools
  • An ad-free experience