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FINRA disciplinary action update 2025/45

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Thomas Hyrkiel

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Disciplinary decisions issued November 29 – December 5, 2025.

Intesa Sanpaolo IMI Securities censured and fined for alleged TRACE reporting violations

As a result of human error, the firm failed to report some corporate debt and US Treasury securities transactions to TRACE.

In addition, the firm issued over 11,000 customer trade confirmations that omitted the price of the security.

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