According to FINRA, Vanessa Oliveira Hendrickson (CRD #6997755), a broker based in Coram, New York, was barred from the securities industry on August 20, 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 permanently bar an individual from associating with any FINRA member firm when the individual fails to comply with information requests or fails to maintain current regulatory filings. This is a final action, and Hendrickson is no longer permitted to work in any capacity at a FINRA-regulated securities firm. This action was taken in connection with FINRA Case #2023080788301.

The obligation to cooperate with FINRA is a condition of registration in the securities industry. All registered representatives agree to abide by FINRA's rules when they become licensed, and this includes the requirement to respond to FINRA's requests for information. These requests are a critical tool that FINRA uses to investigate potential misconduct, examine firm and individual compliance, and protect the investing public. When individuals fail to comply, it compromises the entire regulatory framework.

For investors, this bar means Hendrickson has been permanently removed from the securities industry. Investors who previously worked with Hendrickson should take the time to review their account statements and transaction histories for any irregularities. If concerns arise, investors can file a complaint with FINRA or seek guidance from a qualified professional. FINRA's BrokerCheck tool remains one of the best free resources available for investors to research the backgrounds and regulatory histories of brokers and brokerage firms, and investors should make it a regular practice to check on the status of anyone managing their financial assets.