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FINRA disciplinary action update #39

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Thomas Hyrkiel

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Disciplinary decisions issued November 17 – 23, 2023.

Former securities representative barred for allegedly churning and excessively trading customer accounts and providing false statements and testimony to FINRA

This is an Order Accepting an Offer of Settlement and not an AWC

Securities representative suspended and fined for allegedly participating in  a private securities transaction without approval from her

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