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FINRA disciplinary action update 2025/33

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

Disciplinary decisions issued August 30 – September 12, 2025.

Former investment banking representative barred for allegedly converting firm funds

The representative transferred a total of $176,839.62 from his firm-provided credit card to an intermediary PayPal account and then to a personal PayPal account in order to pay for personal, non-business expenses.

He also charged personal, non-business expenses to his corporate