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FINRA disciplinary action update #23

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

Thomas Hyrkiel

3 min read

Disciplinary decisions issued July 21 – July 27, 2023.

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

FINRA Rule 2010 FINRA Rule 8210

Securities representative suspended and fined for alleged misleading testimony during an arbitration hearing

FINRA Rule 2010

Concorde Investment Services censured and fined for alleged unregistered distribution of securities

Three private placement offerings

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