4.7.2. Sanctions
FINRA may impose the following sanctions on a member firm or associated person for any violation of federal securities laws, rules, 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 other fitting sanction
Upon seven days’ written notice, FINRA may suspend o