According to FINRA, Courtney Rae Buth was barred from association with any FINRA member firm for failure to provide information or keep information current pursuant to FINRA Rule 9552(h).

The bar became effective on June 27, 2025. Buth was based in Moorhead, Minnesota and had CRD number 5057787. The specific FINRA case number is 2024084234301.

FINRA Rule 9552(h) provides FINRA with the authority to bar individuals who fail to respond to information requests within the required timeframe. This rule is essential to FINRA's ability to investigate potential misconduct and protect investors.

All persons associated with FINRA member firms have an ongoing obligation to cooperate with FINRA investigations and respond to requests for information. This obligation exists because FINRA cannot fulfill its investor protection mission without access to information from those working in the industry.

When individuals refuse to provide requested information, it raises serious concerns about what they may be attempting to conceal. Regardless of whether any underlying misconduct occurred, the failure to cooperate prevents FINRA from completing its investigation and potentially taking action to protect investors.

A bar from the securities industry is permanent and comprehensive. It prohibits the individual from working in any capacity with any FINRA member firm. This severe sanction reflects the critical importance of cooperation with regulatory processes.

Investors can verify the status of any broker or former broker using FINRA's BrokerCheck tool. This free resource provides information about disciplinary history, including bars, and helps investors make informed decisions about their financial relationships.