According to FINRA, Adam Harris Ezrilov was barred from association with any FINRA member firm in all capacities after failing to appear for on-the-record testimony requested by FINRA.

FINRA sought Ezrilov's testimony in connection with its investigation into the circumstances surrounding a Form U5 submitted by his member firm. The firm alleged that it discharged Ezrilov for submitting succession plan documents containing a non-genuine signature.

By refusing to cooperate with FINRA's investigation, Ezrilov prevented regulators from fully investigating these serious allegations. Document falsification is a serious violation that undermines the integrity of the securities industry.

FINRA Rule 8210 requires associated persons to cooperate with FINRA investigations, including appearing for testimony when requested. This cooperation requirement is fundamental to FINRA's investor protection mission.

The bar from the securities industry means that Ezrilov can no longer work in any capacity for any FINRA member firm. Investors can check the registration status and disciplinary history of their financial professionals through FINRA's BrokerCheck service.

This case demonstrates the serious consequences that follow when individuals refuse to cooperate with regulatory investigations. When people refuse to provide testimony about allegations of document falsification, it prevents regulators from determining what actually occurred and protecting investors from potential misconduct.