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FINRA disciplinary action update 2026/29

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

FINRA enforcement activity covering October 3 – 9.

Former securities representative accused of allegedly failing to provide documents and information

FINRA Rule 2010FINRA Rule 8210

David Lerner Associates censured and fined for alleged supervisory failings

The firm permitted registered staff who only held general securities principal registrations to supervise municipal securities sales at two of the firm’s branch

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