NASD NTM 05-48 – Global Relay Intelligence & Practice

NASD NTM 05-48

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