ROGER BRUCE BRAXTON, II
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/22/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Roger Braxton II CRD No. 6271694, Respondent. Disciplinary Proceeding No. 2020066388801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Roger Braxton II (“Respondent” or “Braxton”) failed to provide information and documents FINRA requested pursuant to FINRA Rule 8210. As a result, Respondent violated FINRA Rules 8210 and 2010. RESPONDENT AND JURISDICTION 2. Respondent entered
04/14/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROGER BRAXTON II (CRD No. 6271694), Respondent Disciplinary Proceeding No. 2020066388801 Hearing Officer-MJD DEFAULT DECISION April 14, 2022 Respondent is barred from associating with any FINRA member firm in any capacity for failing to comply with requests for information and documents during a FINRA investigation, in violation of FINRA Rule 8210 and 2010.
Reference 2020066388801data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6271694 |
Other names1
Also known as1
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