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FINRA disciplinary action update 2024/32

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

Thomas Hyrkiel

4 min read

Disciplinary decisions issued August 10 – 16, 2024.

Securities representative barred for allegedly refusing to appear for on-the-record testimony

FINRA Rule 2010FINRA Rule 8210

Former products representative barred for allegedly converting company funds for personal use

FINRA Rule 2010

Product representative suspended and fined for allegedly falsely certifying that she had personally completed the continuing education required to

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