Skip to Primary Navigation

Skip to main content

FINRA disciplinary action update 2025/3

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

Thomas Hyrkiel

2 min read
 Click to share on Facebook (Opens in new window/tab) Click to share on Twitter (Opens in new window/tab) Click to share on LinkedIn (Opens in new window/tab) Click to share on WhatsApp (Opens in new window/tab)

Disciplinary decisions issued January 18 – 24, 2025.

Former products representative barred for allegedly refusing to provide information or documents


Former investment banking representative barred for allegedly refusing to respond to a request for documents and information


UBS Financial Services censured and fined for alleged inaccurate transaction information reporting

The firm submitted approximately 17,000 blue sheets that misreported

  • the
, , , , , , , , , , , , , , , , , ,

Get full access, free for a month

This is a Premium article. Start your 28-day free trial to continue reading and access all content on GRIP – no payment details required.

Start free trial Sign in

What’s included:

  • Every new article, plus our 5,000+ archive
  • Daily regulatory insight and guidance
  • Exclusive interviews and in-depth analysis
  • Coverage of industry-leading events and conferences
  • All podcasts and videos, featuring industry experts
  • The full set of Rules Navigator tools
  • An ad-free experience