Individuals Barred By Finra | Finra.Org: Who Made The List?

This list includes individuals who were barred by FINRA as of June 30, 2024. FINRA bars individuals as a result of disciplinary decisions or because they voluntarily agree to be barred. This means that these individuals are no longer allowed to work in the securities industry.

It’s important to understand why FINRA bars individuals. FINRA is a self-regulatory organization for the securities industry. They play a crucial role in protecting investors and ensuring the integrity of the financial markets. When FINRA bars an individual, it’s because they have violated FINRA rules or engaged in conduct that is considered harmful to investors. These violations can range from fraud and theft to failing to meet professional standards.

FINRA’s disciplinary actions are designed to deter future misconduct and to protect investors from harm. The FINRA website has a wealth of information on their disciplinary actions, including details about the specific violations that led to the bar. You can find this information by searching for the individual’s name on the FINRA website.