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FINRA disciplinary action update 2026/2

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

Thomas Hyrkiel

3 min read

Disciplinary decisions issued January 17 – 23, 2026.

Former securities principal barred for allegedly failing to provide information or appear and provide testimony

This is an order accepting an offer of settlement.

FINRA Rule 2010FINRA Rule 8210

Sutter Securities and its former CEO charged with alleged excessive trading in a customer account

The firm, acting through a representative

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