← Broker database 2025-06-16
Amber Nicole Cook Suspended for Failure to Provide Information
According to FINRA, Amber Nicole Cook was suspended from association with any FINRA member firm for failure to provide information or keep information current pursuant to FINRA Rule 9552(d).
The suspension became effective on June 16, 2025. Cook was based in Jefferson City, Missouri and had CRD number 7360336. The specific FINRA case number is 2024084068801.
FINRA Rule 9552(d) allows FINRA to suspend individuals who fail to provide requested information or keep their registration information current. Unlike a bar, a suspension can be lifted if the individual subsequently complies with the information request.
Suspensions under this rule serve as both a sanction and an incentive for compliance. While the suspension is in effect, the individual cannot associate with any FINRA member firm. However, if they provide the requested information, the suspension may be lifted.
The obligation to respond to FINRA information requests and maintain current registration information is fundamental to the securities regulatory framework. FINRA relies on timely and accurate information to oversee the industry and protect investors.
While suspended, Cook cannot work in any capacity with any broker-dealer. The suspension will remain in effect until she complies with FINRA's requests or until further action is taken.
For investors, this case demonstrates that FINRA actively monitors compliance with information requests and takes action against those who fail to cooperate. Investors can check the status of any broker using FINRA's BrokerCheck tool, which provides information about suspensions and other disciplinary actions.
If the suspension is not lifted through compliance, it can eventually convert to a permanent bar from the securities industry.