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