Series 28: Sanctions

Taken from our Series 28 Online Guide

Sanctions

FINRA may impose the following sanctions on a member firm or associated person for any violation of federal securities laws, rules, or regulations, FINRA rules, or for any neglect or refusal to comply with a FINRA order, direction, or decision:

• Censure or fines
• Suspension or expulsion
• Prohibition of associating with other member firms
• Imposition of a temporary cease and desist order
• Any oth

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Nikita Brown, BMI. Atlanta, GA

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