According to FINRA, Reuben Lamont Brown (CRD #7089559) of Fort Worth, Texas, was barred from the securities industry in all capacities on March 4, 2024. The bar was imposed after Brown refused to appear for on-the-record testimony as part of a FINRA investigation (Case #2022076164001). The investigation originated from a Form U5 filing by Brown's former employer, which disclosed that he had been terminated for introducing clients to investments outside the firm in violation of FINRA Rule 3280, commonly known as "selling away." Selling away occurs when a registered representative recommends or facilitates securities transactions that are not approved or supervised by their member firm. FINRA Rule 3280 specifically requires associated persons to provide prior written notice to their employing firm before engaging in any private securities transactions. This rule exists because when brokers conduct business outside the oversight of their firm, investors lose critical protections including compliance review, suitability analysis, and access to the firm's dispute resolution and insurance coverage. When FINRA initiates an investigation, registered representatives are obligated to cooperate fully, including appearing for testimony when requested. Brown's refusal to provide testimony constituted a separate and independent violation of FINRA Rules 8210 and 2010. FINRA Rule 8210 grants the regulator authority to compel testimony and document production from associated persons, and failure to comply is treated as one of the most serious violations in the regulatory framework. Investors should understand that a bar from the securities industry is the most severe sanction FINRA can impose on an individual. It permanently prohibits the person from associating with any FINRA member firm in any capacity. Investors who worked with Brown should review their account statements and holdings carefully, particularly any investments that may have been recommended outside his firm's approved product list. If you believe you were sold unauthorized investments, you may have recourse through FINRA's arbitration process or by filing a complaint with FINRA's Office of Investor Education and Advocacy. Always verify that any investment recommended by a broker has been approved by their employing firm and appears on official account statements.