FINRA Suspends Ryan Darby for Alleged Failure to Respond to Information Requests

Ryan Darby (CRD #: 6578759), a former broker, was temporarily suspended from FINRA, according to his BrokerCheck record, accessed on May 28, 2022. Read on if you have questions about Ryan Darby’s conduct as a broker.

FINRA Suspension

On February 17, 2022, Ryan Darby received a Notice of Suspension from FINRA for allegedly failing to respond to requests for information, violating FINRA Rule 9552. His suspension began on March 14, 2022, and ended on May 19, 2022.

FINRA Rule 9552

FINRA Rule 9552 penalizes FINRA members for failing to provide information in connection with a FINRA investigation and for failing to keep information current.

Violators of Rule 9552 are served with a Notice of Suspension, which becomes a permanent bar from FINRA if they do not request a termination of the suspension within three months.

Discharge from Fidelity Brokerage Services

On May 18, 2021, Ryan Darby was fired from Fidelity Brokerage Services after allegedly inaccurately noting in the firm’s internal customer records that he had attempted to or successfully contacted customers by phone when he had not done so.

FINRA Rule 4511

FINRA Rule 4511 requires that firms keep books and records, with the implicit requirement that these records be accurate and up-to-date.

Background Information

Ryan Darby has passed the following exams:

• Series 66 – Uniform Combined State Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination

He previously worked for Fidelity Brokerage Services (CRD#:7784). 

Kurta Law Can Help

If you worked with Ryan Darby and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and 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.