According to FINRA, James Uriel Marrero (CRD #5332847) of Lindenwold, New Jersey 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 27, 2024. This action is associated with FINRA Case #2024081954801. FINRA Rule 9552(d) is an administrative provision that authorizes FINRA to suspend an individual who fails to provide information or keep information current as required by FINRA rules. The process is initiated when FINRA identifies a deficiency in the individual's compliance with information requirements and issues a formal notice specifying the deficiency and a deadline for compliance. If the individual does not respond or cure the deficiency by the deadline, the suspension takes effect. While suspended, Marrero is prohibited from associating with any FINRA member firm and cannot conduct any securities business or other regulated activities. Providing information to FINRA when requested is a fundamental obligation that every registered person in the securities industry must fulfill. Under FINRA Rule 8210, FINRA has the authority to request documents, information, and testimony from current and former associated persons as part of its regulatory investigations and examinations. This information-gathering power is essential to FINRA's ability to investigate potential misconduct, enforce compliance with securities laws and regulations, and protect investors from harm. When individuals fail to meet this obligation, it impairs FINRA's regulatory effectiveness and can leave investors without the protections they deserve. The consequences of a suspension under Rule 9552(d) can be significant. While the suspension can potentially be reversed if the individual subsequently complies with FINRA's information request, continued non-compliance may lead to the suspension being elevated to a permanent bar under Rule 9552(h). A permanent bar would completely and permanently exclude the individual from the regulated securities industry. This graduated enforcement approach reflects FINRA's preference for obtaining compliance while maintaining the enforcement tools necessary to protect the investing public. Investors should always take the time to verify the registration status and disciplinary history of their financial professionals using FINRA's free BrokerCheck tool, which provides comprehensive background information on brokers and brokerage firms across the country.