Skip to Primary Navigation

FINRA disciplinary action update #23

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

Disciplinary decisions issued July 21 – July 27, 2023.

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

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

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

Three private placement offerings were sold without the firm “having established pre-existing, substantive

Get full access, free for a month

This is a Premium article. Start your 28-day free trial to continue reading and access all content on GRIP – no payment details required.

What’s included:

  • Every new article, plus our 5,000+ archive
  • Daily regulatory insight and guidance
  • Exclusive interviews and in-depth analysis
  • Coverage of industry-leading events and conferences
  • All podcasts and videos, featuring industry experts
  • The full set of Rules Navigator tools
  • An ad-free experience