According to FINRA, Mark Robert Brosa has been barred from association with any FINRA member firm for failure to provide information or keep information current pursuant to FINRA Rule 9552(h).

FINRA Rule 9552 provides a streamlined process for barring individuals who fail to respond to FINRA requests for information. When registered persons fail to provide required information, it prevents FINRA from fulfilling its regulatory mission of protecting investors and maintaining market integrity.

The obligation to provide information to regulators is a fundamental requirement of securities industry registration. Individuals who obtain the privilege of working in the securities industry accept this responsibility as a condition of their registration.

A bar under Rule 9552(h) is automatic when an individual fails to respond to information requests within the required timeframe. The bar prevents the individual from associating with any FINRA member firm in any capacity.

What Investors Can Learn: Regulatory bars are disclosed on FINRA BrokerCheck and represent important information for investors. When considering working with a financial professional, reviewing their regulatory history—including any bars or suspensions—provides insight into their compliance record.