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FINRA disciplinary action update 2025/23

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Thomas Hyrkiel

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Disciplinary decisions issued June 14 – 20, 2025.

Colliers Securities censured and fined for allegedly failing to comply with MSRB disclosure and reporting obligations

The firm failed to utilize the requireds special conditions indicators for transactions in new issue municipal securities reported to the RTRS.

It also failed to disclose or disclose accurately the require mark-up and mark-down

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