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FINRA disciplinary action update 2025/25

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

Thomas Hyrkiel

1 min read

Disciplinary decisions issued June 28 – July 4, 2025.

Former securities representative suspended and fined for allegedly holding beneficial interest in two outside brokerage accounts without firm approval

FINRA Rule 2010FINRA Rule 3210

Former associated person barred for allegedly refusing to provide information and documents

FINRA Rule 2010FINRA Rule 8210

Former securities representative barred for allegedly failing to provide

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