In connection with FINRA’s investigation of certain trading practices by certain traders at a FINRA member firm, FINRA issued a FINRA Rule 8210 request for testimony to Nadarajah. Nadarajah appeared for testimony and answered certain of FINRA staff’s questions. Nadarajah, however, declined to answer all of FINRA staff’s questions at that time, due to a pending matter. As a result, Nadarajah violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities...

Bryan refused to provide information and documents requested pursuant to FINRA Rule 8210. As a result, Bryan violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.