According to FINRA, Noah Dewayne Shaw was barred from association with any FINRA member firm pursuant to FINRA Rule 9552(h) for failure to provide information or keep information current.

The bar became effective on August 11, 2025.

When FINRA requests information from a registered person and that person fails to respond, FINRA may suspend the individual. If the suspension continues for three months without the individual requesting termination by coming into compliance, the suspension automatically converts to a permanent bar under FINRA Rule 9552(h).

The underlying information request is documented in FINRA Case #2025084719001. The specific nature of FINRA's investigation that prompted the information request is not disclosed in this action.

A bar from the securities industry is permanent and prohibits the individual from working with any FINRA member firm in any capacity, including any role that involves securities activities.

For investors, bars for failure to provide information raise concerns because the underlying regulatory investigation remains unresolved. FINRA may have been investigating serious misconduct, but without the individual's cooperation, the investigation cannot be completed.

If you had business dealings with Shaw and have concerns about your accounts or investments, consider reviewing your statements carefully and consulting with a securities attorney if you identify any issues. The inability to complete the underlying investigation means potential misconduct may never be formally adjudicated.