According to FINRA, Michael Craig Brickman was barred from association with any FINRA member in all capacities for refusing to provide information and documents to FINRA.

The investigation originated from FINRA's review of a request for mediation filed by a customer against Brickman and his member firm. Despite FINRA's requests for information and documents related to the customer dispute, Brickman refused to cooperate.

Customer complaints and mediation requests are important sources of information that help FINRA identify potential misconduct and take action to protect investors. When FINRA reviews customer disputes, it may discover patterns of problematic behavior or regulatory violations that require investigation. Registered representatives are obligated to cooperate with these investigations by providing requested information and documents.

Brickman's refusal to cooperate prevented FINRA from fully investigating the allegations raised in the customer's mediation request. This non-cooperation not only obstructed FINRA's investigation but also prevented a full airing of the facts related to the customer's concerns.

The permanent bar imposed on Brickman means he can no longer work in any capacity at any FINRA member firm. This severe sanction reflects FINRA's position that cooperation with investigations is non-negotiable. For investors, the ability to file complaints and have them investigated is a critical protection. When registered representatives refuse to cooperate with investigations into customer complaints, they undermine this protective mechanism and demonstrate a lack of accountability that warrants removal from the industry.