← Broker database 2026-04-16
Ohio Broker Carolyn Dammeyer Barred for Failure to Provide Information to FINRA
According to FINRA, Carolyn Marie Dammeyer was barred from association with any FINRA member effective April 16, 2026, pursuant to FINRA Rule 9552(h), for failure to provide information or keep information current with FINRA.
Registered persons in the securities industry are required to maintain accurate and current registration information with FINRA and to respond promptly to regulatory requests for information. This obligation exists because FINRA's ability to oversee the industry and protect investors depends on the accuracy and completeness of the information registered persons provide. When individuals fail to meet these basic transparency obligations, FINRA may impose a bar under Rule 9552(h), which prevents them from associating with any FINRA member firm.
The bar serves a protective function: it removes from the industry individuals who are failing to meet fundamental regulatory obligations and who may therefore be unsuitable to work in a position of trust with investors or in connection with customer assets. Unlike a suspension, which is intended to compel compliance, a bar under Rule 9552(h) can remain in place indefinitely unless vacated.
Investors who have previously worked with Dammeyer should review their account records, verify that their assets are managed by a currently registered representative, and consult FINRA BrokerCheck to review her complete regulatory history. BrokerCheck provides free public access to the disclosure history of all current and former FINRA-registered persons and firms.
The securities industry depends on a foundation of mutual trust between investors and the professionals who serve them. When registered persons fail to meet even the most basic disclosure obligations to the regulator that oversees them, it erodes that foundation and undermines investor confidence in the regulatory framework designed to protect them.