According to FINRA, Zayed Azaji Rodriguez Regalado (CRD #6915438), a broker based in Stamford, Connecticut, 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) authorizes FINRA to impose a permanent bar on individuals who fail to provide requested information or fail to keep their regulatory filings current. This bar prohibits Regalado from associating with any FINRA member firm in any capacity, effectively ending his ability to work in the regulated securities industry. This action was taken in connection with FINRA Case #2023080305501.

FINRA's information request process is essential to its mission of investor protection. When FINRA identifies potential issues or receives complaints, it relies on the cooperation of registered individuals to gather the facts necessary to make informed regulatory decisions. The failure to cooperate with these requests is treated as a serious violation because it directly undermines FINRA's oversight capabilities and may leave investors exposed to ongoing harm from undetected misconduct.

For investors, this action means that Regalado is permanently barred from the securities industry. This information is publicly available through FINRA's BrokerCheck system, which investors can use to verify the current status and background of any financial professional. Investors who previously had accounts or transactions involving Regalado should review their records carefully and ensure their assets have been properly handled. Staying informed about the regulatory status of financial professionals is one of the most important steps investors can take to protect their financial interests. FINRA's BrokerCheck tool is available at no cost and provides detailed information about brokers' employment history, licensing, regulatory actions, and customer disputes.