Skip to Primary Navigation

FINRA disciplinary action update 2025/28

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

Disciplinary decisions issued July 19 – 25, 2025.

Former securities representative barred for allegedly refusing to appear for on-the-record testimony


Former securities representative suspended and fined for allegedly impersonating customers to facilitate the transfer of their accounts and funds

Although both types of transfer were made with the consent of customers, they did not give permission to be