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FINRA disciplinary action update #43

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

Thomas Hyrkiel

2 min read

Disciplinary decisions issued December 15 – 21, 2023.

Former products representative barred for allegedly refusing to provide documents and information

FINRA Rule 2010 FINRA Rule 8210

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

FINRA Rule 2010 FINRA Rule 8210

Elevation LLC censured and fined for alleged supervisory system failures

The firm did not have

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