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FINRA disciplinary action update 2025/8

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Thomas Hyrkiel

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Disciplinary decisions issued February 22 – 28, 2025.

Formers securities representative barred for allegedly refusing to appear for on-the-record testimony


MarketAxess censured and fined for alleged inaccurate transaction reporting

Due to a technological error the firm reported approximately 53,000 transaction to Trade Reporting and Compliance Engine (TRACE) with inaccurate execution times.

The firm also made inaccurate and untimely reports

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