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

This list includes individuals who were barred by FINRA as of June 30, 2024. Individuals who have been barred by FINRA as a result of a disciplinary decision or other regulatory action are prohibited from associating with any FINRA member firm in any capacity. This means they can’t work in the securities industry in any way.

FINRA takes disciplinary action against individuals who violate FINRA rules and regulations. This action can include barring the individual from the securities industry. FINRA’s goal is to protect investors and ensure the fairness and integrity of the securities markets.

FINRA’sdisciplinary process is designed to be fair and transparent. Individuals who are the subject of a disciplinary investigation have the right to due process, including the right to a hearing before a FINRAdisciplinary panel. FINRA’sdisciplinary decisions are made public, and individuals who are barred from the securities industry are required to disclose this fact to potential employers.

FINRA’sdisciplinary database is a valuable resource for investors. By knowing which individuals have been barred from the securities industry, investors can make more informed decisions about who they trust with their money.