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FINRA disciplinary action update #3

FINRA HQ
Photo: Getty Images

Thomas Hyrkiel

1 min read
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Disciplinary decisions issued March 3 – 9, 2023.

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

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

Transamerica Capital fined for failing to register third party call center workers

Former securities

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