Sanctions
FINRA may impose the following sanctions on a member firm or associated person for any violation of federal securities laws, rules, or regulations, or 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
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