FINRA disciplinary action update 2025/31

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.


Securities representative suspended and fined for alleged unsuitable investment recommendations

The representative recommended customers who had a low or moderate risk tolerance should invest an unsuitably high percentage of

Free Trial

Register for free to keep reading.

To continue reading this article and unlock full access to GRIP, register now. You’ll enjoy free access to all content until our subscription service launches in early 2026.

  • Unlimited access to industry insights
  • Stay on top of key rules and regulatory changes with our Rules Navigator
  • Ad-free experience with no distractions
  • Regular podcasts from trusted external experts
  • Fresh compliance and regulatory content every day
Register for free Already a member? Sign in