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FINRA disciplinary action update 2025/31

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

Thomas Hyrkiel

2 min read

Disciplinary decisions issued August 16 – 22, 2025.

Two former securities representatives charged with allegedly failing to appear for scheduled testimony

This is a complaint and not an AWC.

FINRA Rule 2010FINRA Rule 8210

Securities representative suspended and fined for alleged unsuitable investment recommendations

The representative recommended customers who had a low or moderate risk tolerance should invest

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