Bad Broker

Amber Nicole Cook Suspension Lifted After Providing Information

2025-06-16

My Bad Broker

According to FINRA, Amber Nicole Cook was suspended pursuant to FINRA Rule 9552(d) for failure to provide information or keep information current.

The suspension was in effect from June 16, 2025, through August 27, 2025, when it was lifted, indicating Cook came into compliance with FINRA's information requirements.

FINRA Rule 9552(d) provides that a person who fails to provide information or keep information current may be suspended until the information is provided. The suspension prevents the individual from associating with any FINRA member firm until compliance is achieved.

The underlying matter is documented in FINRA Case #2024084068801.

For investors, suspensions that are subsequently lifted indicate the individual eventually cooperated with FINRA's information requests. However, the underlying matter that prompted the request may still be under investigation or may have resulted in other regulatory actions.

If you had dealings with Cook and have concerns about your accounts, verify that any transactions during the suspension period were not affected and that your accounts are properly positioned going forward.

Violation :

Suspended for failure to provide information

Tags :

Amber Nicole Cook,
MO
CRD Number : 7360336

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