FINRA Bars Christopher Ziogas Following Refusal to Provide Documents in Investigation

The Financial Industry Regulatory Authority (FINRA) has barred Christopher Ziogas (CRD #1110989) of Bristol, Connecticut, from associating with any FINRA member firm in any capacity after he refused to provide documents and information requested during a regulatory investigation.

On November 26, 2025, FINRA issued a Letter of Acceptance, Waiver, and Consent (AWC) under Case #2025085310001. Without admitting or denying the findings, Ziogas consented to the sanction and to the entry of findings.

Refusal to Comply with FINRA Investigation

According to FINRA, the investigation concerned, among other things, allegations contained in a felony indictment filed against Ziogas.

As part of its inquiry, FINRA requested documents and information from Ziogas pursuant to its authority under FINRA Rule 8210, which requires registered persons to provide information and records during investigations.

FINRA found that Ziogas refused to provide the requested materials. A refusal to comply with a Rule 8210 request is considered a serious violation because it prevents the regulator from fully evaluating potential misconduct and protecting investors.

As a result of his refusal, Ziogas was permanently barred from associating with any FINRA member firm in all capacities.

Regulatory Cooperation Is Mandatory

FINRA’s investigative authority depends on the ability to obtain documents, communications, and other information from registered individuals. When a broker refuses to comply with document requests—particularly in connection with serious allegations such as a felony indictment—FINRA may impose its most severe sanction: a permanent industry bar.

A FINRA bar prohibits an individual from working for a registered broker-dealer in any capacity.

Silver Miller Represents Investors in Broker Misconduct Matters

Regulatory actions involving criminal allegations and failures to cooperate with investigations can raise serious concerns for investors.

Silver Miller represents investors nationwide in claims involving broker misconduct, supervisory failures, and violations of FINRA rules. Our attorneys pursue recovery through FINRA arbitration and civil litigation where appropriate.

If you have questions about your broker or believe you may have been harmed by misconduct, contact Silver Miller for a free, confidential consultation. We work on a contingency fee basis—meaning you pay nothing unless we recover for you.