← Broker database 2025-10-14
Richard James Wick Suspended for Failure to Provide Information
According to FINRA, Richard James Wick was suspended from association with any FINRA member pursuant to FINRA Rule 9552(d) for failing to provide information or keep information current as required.
Wick's suspension began on October 14, 2025.
Under Rule 9552(d), individuals who fail to respond to FINRA's information requests are suspended from the industry until they comply. The suspension can be converted to a permanent bar if the individual continues to fail to provide the requested information.
Cooperation with FINRA is mandatory for all registered persons. This requirement ensures that FINRA can conduct investigations, monitor compliance, and protect investors from potential misconduct. When individuals refuse to cooperate, they impede FINRA's ability to fulfill its investor protection mission.
For investors who worked with Wick, this action should prompt a review of your accounts. Check your statements carefully for any transactions you did not authorize or any unusual activity. If you have concerns, consider consulting with a securities attorney or filing a complaint with FINRA.
It is important to note that a suspension for failure to provide information does not itself indicate that the individual engaged in misconduct affecting customers. However, the failure to cooperate with regulators is concerning in its own right.
To protect yourself, regularly verify the registration status of your financial professionals through FINRA's BrokerCheck system. This free tool provides information about registration history, employment history, and any disciplinary actions. Making BrokerCheck verification a regular practice can help you identify potential issues before they affect your investments.