← Broker database 2025-06-10
Lawerence Nathaniel Parker Barred for Failure to Provide Information
According to FINRA, Lawerence Nathaniel Parker was barred from association with any FINRA member firm for failure to provide information or keep information current pursuant to FINRA Rule 9552(h).
The bar became effective on June 10, 2025. Parker was based in St. Petersburg, Florida and had CRD number 6959513. The specific FINRA case number is 2024081795601.
FINRA Rule 9552(h) authorizes FINRA to bar individuals who do not respond to requests for information within the specified time period. This rule is essential to maintaining FINRA's ability to investigate potential misconduct and protect investors.
All associated persons have an ongoing duty to cooperate with FINRA investigations and respond to information requests. This duty is fundamental to the regulatory framework because FINRA cannot effectively oversee the securities industry without access to relevant information from those who work in it.
When individuals fail to cooperate, it prevents FINRA from fully investigating potential violations. Regardless of what the underlying investigation concerned, the failure to respond itself warrants serious sanctions because it undermines the regulatory process.
A bar from association with FINRA member firms is permanent. It prohibits the individual from working in any capacity with any broker-dealer registered with FINRA. This is the most severe sanction FINRA can impose on an individual and reflects the importance placed on cooperation with regulatory functions.
Investors should use FINRA's BrokerCheck tool to verify the registration status and disciplinary history of any broker or firm they are considering. This free resource provides important background information that can help investors protect themselves.