According to FINRA, Anna Marie Verzosa was barred from association with any FINRA member in all capacities pursuant to FINRA Rule 9552(h) for failing to provide information or keep information current as required.
Verzosa's bar became effective on October 28, 2025.
The obligation to respond to FINRA information requests is fundamental to the regulatory framework that protects investors. When individuals fail to meet this obligation, FINRA cannot fulfill its mission of investigating potential misconduct and ensuring market integrity.
FINRA Rule 9552 provides due process protections while ensuring that individuals who refuse to cooperate face appropriate consequences. The bar sanction permanently removes non-cooperative individuals from the securities industry.
For investors who may have worked with Verzosa, this action warrants careful review of any accounts or transactions. While the failure to provide information does not itself indicate that specific misconduct occurred, investors should verify that their accounts were properly handled.
Review your statements and confirm that all transactions were authorized. If you identify any concerns, you may wish to consult with a securities attorney or file a complaint with FINRA.
Going forward, all investors should regularly verify the registration status of their financial professionals. FINRA's BrokerCheck system provides free, easy access to information about brokers and brokerage firms, including disciplinary history. Making BrokerCheck verification a routine practice can help you avoid working with individuals who have regulatory problems.