According to FINRA, Jessica Lynn Cottee (CRD #6923343), a broker based in Indianapolis, Indiana, was barred from the securities industry on August 20, 2024, for failure to provide information or keep information current pursuant to FINRA Rule 9552(h).

FINRA Rule 9552(h) empowers FINRA to bar individuals who fail to respond to information requests or fail to maintain current regulatory filings. A bar under this rule permanently prohibits the individual from associating with any FINRA member firm in any capacity. This action was taken in connection with FINRA Case #2024080887501.

The cooperation of registered representatives with FINRA's regulatory processes is essential to investor protection. When FINRA requests information from a broker, it is typically in connection with an investigation or examination designed to ensure compliance with securities rules and protect the investing public. Failure to provide the requested information prevents FINRA from completing its review and may leave potential violations unaddressed, putting investors at risk.

For investors, this bar means that Cottee is no longer eligible to work in the securities industry at any FINRA member firm. Any investors who previously had dealings with Cottee should consider reviewing their account records. FINRA encourages all investors to use its free BrokerCheck tool to research the backgrounds of their financial professionals before and during the course of the business relationship. BrokerCheck provides access to employment history, licensing information, regulatory actions, and customer complaints, helping investors make informed decisions about who handles their money.