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FINRA disciplinary action update #31

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Thomas Hyrkiel

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Disciplinary decisions issued September 22 – 28, 2023.

Securities representative suspended and fined for allegedly engaging in outside business activity without prior approval from his employer

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

Citigroup Global Markets censured and fined for allegedly violating the short tender rule

The firm over-tendered 11.1m shares in 13

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