According to FINRA, Nicholas C. Camp (CRD #6365278), a broker based in Columbus, Ohio, was barred from the securities industry on August 13, 2024, for failure to provide information or keep information current pursuant to FINRA Rule 9552(h).

FINRA Rule 9552(h) provides FINRA with the authority to bar an individual from associating with any member firm when the individual fails to provide requested information or keep their regulatory filings current. This is a completed action, meaning Camp is now permanently prohibited from working in the securities industry at any FINRA-regulated firm. This action was taken in connection with FINRA Case #2024081426901.

The requirement to provide information to FINRA is not optional for registered representatives. It is a core obligation that comes with the privilege of working in the securities industry. FINRA uses information requests as part of its regulatory oversight to investigate potential misconduct, verify compliance with securities laws and rules, and ensure that investors are being treated fairly. When an individual refuses or fails to respond, FINRA must take action to maintain the integrity of the regulatory process.

For investors, this case is a reminder of the importance of staying informed about the regulatory status of their financial professionals. A bar under Rule 9552(h) is publicly reported and can be found on FINRA's BrokerCheck system. Investors who previously worked with Camp should review their investment accounts and transaction history for any concerns. If any irregularities are identified, investors may wish to consult with a qualified professional about their options. FINRA's BrokerCheck tool is available free of charge and provides comprehensive background information on current and former registered brokers.