According to FINRA, James Fredrick Easter (CRD #74758) of Draper, Utah was suspended from the securities industry for failure to provide information or keep information current pursuant to FINRA Rule 9552(d). The suspension became effective on September 23, 2024. This action is associated with FINRA Case #2022074726601. FINRA Rule 9552(d) authorizes FINRA to suspend an individual who fails to provide requested information or keep required information current. The process begins when FINRA identifies that an individual has not complied with an information request or has failed to maintain current information as required by FINRA rules. FINRA then issues a formal notice under Rule 9552, specifying the deficiency and a deadline for compliance. If the individual fails to respond or remedy the issue by the stated deadline, the suspension takes effect. During the suspension period, Easter is prohibited from associating with any FINRA member firm in any capacity, which means he cannot conduct securities business, advise clients, or perform any other regulated activities. The obligation to respond to FINRA information requests is a cornerstone of the self-regulatory framework that governs the securities industry. Under FINRA Rule 8210, FINRA has the authority to demand information, documents, and testimony from current and former associated persons. This information-gathering power enables FINRA to conduct investigations into potential violations of securities laws and regulations, and to take appropriate enforcement action when violations are identified. When individuals fail to cooperate with these requests, it hampers FINRA's ability to protect investors and maintain market integrity. A suspension under Rule 9552(d) is a serious regulatory action, but it is not necessarily permanent. If the individual subsequently complies with FINRA's information request, the suspension may be lifted. However, continued non-compliance can result in the suspension being converted to a permanent bar under Rule 9552(h), which would permanently prohibit the individual from working in the regulated securities industry. Investors should always check the registration status of their financial professionals through FINRA's BrokerCheck tool, which provides free access to the professional background, registration history, and any disciplinary actions associated with brokers and brokerage firms.