← Broker database 2026-03-09
Robert Leroy Metz Suspended for Failure to Provide Information Required by FINRA
According to FINRA, Robert Leroy Metz (CRD #7282890) of California, Kentucky, was suspended from association with any FINRA member in all capacities pursuant to FINRA Rule 9552(d) for failure to provide information or keep information current as required by FINRA. The suspension became effective on March 9, 2026, under FINRA Case #2025086455301.
FINRA Rule 9552(d) is FINRA's primary enforcement mechanism for ensuring that registered persons comply with information and disclosure obligations. The rule empowers FINRA to impose immediate suspensions on individuals who fail to respond to information requests or who allow required disclosures to lapse without updating them.
The disclosure requirements for FINRA-registered persons are comprehensive. They include reporting customer complaints above specified thresholds, disclosing regulatory investigations and legal proceedings, updating employment history, and ensuring that all biographical and professional information on file with FINRA is accurate and current. These requirements exist so that investors, brokerage firms, and regulators have access to the information they need to evaluate the trustworthiness and professional conduct of industry participants.
When a registered person fails to meet these obligations, the resulting suspension serves as both a consequence and a prompt for compliance. During the period of suspension under Rule 9552(d), the individual may not perform any activities requiring FINRA registration. Failure to correct the deficiency within the specified period results in the suspension escalating to a permanent bar under Rule 9552(h).
Investors should routinely verify the registration status of any financial professional they work with using FINRA BrokerCheck. A suspended registration is a significant red flag indicating that the individual is not currently in compliance with FINRA's basic information requirements. Before entering into any new financial advisory relationship, checking BrokerCheck is one of the most effective and straightforward protective steps an investor can take.