FINRA Reg Notice 09-64 – Global Relay Intelligence & Practice

FINRA Reg Notice 09-64

Enforcement

Synapse Brokerage CEO and CCO charged with misconduct by FINRA

September 5, 2025

Key alleged shortcomings include unreasonable supervision as well as failing to maintain books and records.

Thomas Hyrkiel, Julie DiMauro7 min read
Enforcement

FINRA disciplinary action update 2025/32

September 4, 2025

Disciplinary decisions issued August 23 – 29, 2025.

Thomas Hyrkiel1 min read
Enforcement

FINRA disciplinary action update 2025/1

January 14, 2025

Disciplinary decisions issued January 1 – 10, 2025.

Thomas Hyrkiel4 min read
Enforcement

FINRA disciplinary action update 2024/27

July 17, 2024

Disciplinary decisions issued July 6 – 12, 2024.

Thomas Hyrkiel4 min read
Enforcement

FINRA disciplinary action update 2024/24

June 26, 2024

Disciplinary decisions issued June 15 – 21, 2024.

Thomas Hyrkiel2 min read
Enforcement

FINRA disciplinary action update 2024/10

March 26, 2024

Disciplinary decisions issued March 9 – 15, 2024.

Thomas Hyrkiel3 min read
Enforcement

FINRA disciplinary action update #38

November 23, 2023

Disciplinary decisions issued November 10 – 16, 2023.

Thomas Hyrkiel3 min read