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FINRA disciplinary action update 2026/5

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Thomas Hyrkiel

2 min read
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Disciplinary decisions issued February 7 – 20, 2026.

Former investment banking representative suspended for allegedly improperly using firm funds

Taglich Brothers censured and fined for alleged Reg BI shortcomings

Until July 2022, the firm allegedly did not have in place any written policies or procedures related to Reg BI.

After being examined by FINRA, the firm incorporated some rudimentary

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