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 regulatory actions.

FINRA is a self-regulatory organization (SRO) for the securities industry in the United States. It’s important to understand that being barred by FINRA is a serious matter. It means that the individual is prohibited from associating with any FINRA member firm in any capacity, including trading securities, providing investment advice, or managing customer accounts. FINRA bars individuals for a variety of reasons, including fraud, misconduct, and violations of FINRA rules.

FINRA disciplinary actions are a crucial part of protecting investors. When an individual is barred, it means that FINRA has found that they pose a risk to the integrity of the securities markets. This list provides a valuable resource for investors, allowing them to see who has been barred from the industry. This helps ensure that investors can make informed decisions about who they trust with their money. If you are considering investing with an individual or firm, you can check this list to see if they are barred by FINRA.