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