According to FINRA, Joseph Francis Bartosiewicz Jr. was barred from association with any FINRA member in all capacities for refusing to provide documents and information requested by FINRA during the course of an investigation into his conduct following his former member firm's AWC.

When firms enter into AWCs (Acceptance, Waiver and Consent agreements) with FINRA, the investigation often extends to the individual representatives involved in the misconduct. Representatives are required to cooperate with these follow-up investigations to ensure that individual accountability is maintained and to protect investors from future harm.

Bartosiewicz's refusal to cooperate prevented FINRA from determining his role in the firm's misconduct and assessing appropriate individual sanctions. This case demonstrates that cooperation with FINRA is mandatory, and those who refuse face automatic expulsion from the industry.