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FINRA disciplinary action update 2025/24

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

Thomas Hyrkiel

2 min read

Disciplinary decisions issued June 21 – 27, 2025.

Former products representative barred for allegedly refusing to produce information and documents

FINRA Rule 2010FINRA Rule 8210

Securities representative suspended and fined for allegedly participating in conversations utilizing an unapproved comms channel

The representative was included on WeChat conversations that included firm senior executives, employees and customers.

The conversations covered

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