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FINRA disciplinary action update #3

FINRA HQ
Photo: Getty Images

Thomas Hyrkiel

1 min read

Disciplinary decisions issued March 3 – 9, 2023.

Former securities representative fined and suspended for obtaining COVID-19 unemployment benefits while working

FINRA Rule 2010 FINRA Rule 3280

Aeon capital fined and censured for failing to maintain required minimum net capital levels and for failing to report these deficiencies to FINRA

Exchange Act § 15(c) Exchange Act Rule 15c3-1
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