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FINRA disciplinary action update #37

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

Thomas Hyrkiel

3 min read

Disciplinary decisions issued November 3 – 9, 2023.

Former securities representative suspended and fined for allegedly failing to disclose felony charges on Form U4

FINRA By-Laws Article V, Section 2(c) FINRA Rule 1122 FINRA Rule 2010

Sun’s Brothers Securities censured and fined for alleged AML compliance program failures

The firm failed to put in place adequate policies and

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