Roger Lee Arnold
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/01/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Roger Lee Arnold CRD No. 5284151, Respondent. Disciplinary Proceeding No. 2021072142202 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Roger Lee Arnold failed to respond to three FINRA requests for information and documents made pursuant to FINRA Rule 8210 as part of FINRA staff’s investigation into the circumstances surrounding Arnold’s resignation from his FINRA member firm. As a result, Arnold violated FINRA Rules 8210 and 2010.
05/16/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROGER LEE ARNOLD (CRD No. 5284151), Respondent. Disciplinary Proceeding No. 2021072142202 Hearing Officer–RES DEFAULT DECISION May 16, 2023 Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide information and documents as required by FINRA Rule 8210.
Reference 2021072142202data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5284151 |
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