Bryan Noonan Barred by FINRA
Bryan Noonan (CRD #: 4864372) has been barred by FINRA. This is according to his BrokerCheck record, accessed on July 31, 2024. Keep reading if you have questions regarding his alleged conduct.
Regulatory Action
On June 24, 2024, Bryan Noonan entered into an Acceptance, Waiver, and Consent agreement (AWC), in which he consented to the findings that he refused to produce information or documents as requested by FINRA.
The AWC further alleged that a Raymond James U5 alleged that the firm was investigating “possible violations of the firm’s policies relating to outside business and selling away.”
As part of the terms of the AWC, Bryan Noonan consented to a bar. You can read a copy of the AWC here.
FINRA Rule 3270 – Outside Business and Selling Away
FINRA Rule 3270 requires brokers to inform their firm of any outside business activities or any investments sold away from the firm. The brokerage firm may prohibit the activity if the firm believes the proposed activity may compromise the broker’s duties. Firms may also require brokers to seek approval of any outside business.
Background Information
Bryan Noonan has passed the following exams:
- Series 66 Uniform Combined State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
During his 17 years of experience, he has registered with six firms:
- Edward Jones (CRD #: 250)
- Raymond James Financial Services (CRD #: 6694)
- Wells Fargo Advisors (CRD #: 19616)
- NYLife Securities (CRD #: 5167)
- Wells Fargo Investments (CRD #: 10582)
- Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691)
Kurta Law Can Help
If you have worked with Bryan Noonan and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.