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FINRA disciplinary action update 2025/35

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Thomas Hyrkiel

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Disciplinary decisions issued September 20 – 26, 2025.

Former securities representative suspended and fined for allegedly initiating transfers to a brokerage account without having sufficient funds to cover these

TD Ameritrade Clearing and TD Ameritrade censured and fined for allegedly failing to report transactions

The firms failed to report millions of fractional share trades executed in a principal

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