← Broker database 2026-04-15
Ebisu Securities Suspended for Failure to Provide Information to FINRA
According to FINRA, Ebisu Securities Inc. was suspended effective April 15, 2026, pursuant to FINRA Rule 9552, for failure to provide information to FINRA or keep information current.
FINRA Rule 9552 authorizes FINRA to suspend a member firm's registration when the firm fails to comply with regulatory obligations to provide required information or maintain current registration records. Firms are required to keep their registration information accurate and up to date so that FINRA, investors, and other market participants can effectively assess their activities, credentials, and regulatory standing.
A suspension under Rule 9552 may be lifted once the firm comes into compliance with its information obligations. Unlike a cancellation, a suspension is intended to compel compliance rather than permanently remove the firm from the industry. However, during the period of suspension, the firm may be restricted from conducting certain types of business that require active FINRA membership.
Investors who have accounts or open positions at Ebisu Securities should monitor the firm's status closely and verify that their assets are properly protected and accessible. Investors can check the current status of any broker-dealer's FINRA membership and any pending regulatory actions through FINRA BrokerCheck at finra.org/brokercheck.
Firms that fail to maintain current registration information or respond to FINRA's information requests compromise FINRA's ability to oversee their activities and protect the investors they serve. Adequate and timely information sharing with the regulator is a foundational obligation of FINRA membership, and firms that fall short of this obligation risk regulatory action that can restrict their ability to operate.