Bryan Robert Noonan, of Scottsdale, Arizona, a stockbroker registered with Raymond James Financial Services Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Noonan refused to cooperate in a FINRA investigation into his potential private securities transactions. Letter of Acceptance, Waiver, and Consent No. 2024081517201 (June 24, 2024).
Noonan voluntarily resigned from Raymond James Financial Services Inc. on March 7, 2024. The termination was reported in a Uniform Notice for Securities Industry Registration (Form U5) filing, which indicated that an internal review into the stockbroker occurred. That review concerned his potential violations of the securities broker dealer’s policies related to selling away and outside business activities. On June 10, 2024, Raymond James Financial Services Inc. amended the Form U5, stating that the internal review found Noonan and his customers had invested in an unapproved investment.
On April 19, 2024, FINRA requested Noonan provide information or documents in connection with their investigation into his potential private securities transactions and undisclosed outside business activities. Despite acknowledging that he received the request, Noonan refused to provide the requested information or documents, according to the regulator. Therefore, Noonan violated FINRA Rules 2010 and 8210.
Noonan was associated with Raymond James Financial Services Inc. in Scottsdale, Arizona from July 28, 2021, to March 7, 2024. He was associated with Edward Jones in Scottsdale, Arizona from September 20, 2013, to September 3, 2020, and from February 9, 2024, to June 26, 2024.
