FINRA Bars Two For Cheating on Exam

Really? You are in an industry that requires honesty and integrity, and you cheat on a qualification exam? Maybe the fact that it was administered remotely made it seem less serious, but really, if you can’t pass the exam without cheating, you need to find another career.

These two don’t have a choice – they were permanently barred from the industry.

“Test cheaters are on notice: regardless of the testing environment, FINRA remains vigilant in our efforts to detect cheating and will vigorously pursue disciplinary action – including permanent bars – against any individual who cheats on qualification examinations,” said Jessica Hopper, Executive Vice President and Head of FINRA’s Department of Enforcement.”


The Securities Lawyer