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FINRA Suspends Chris Arnold for Alleged Failure to Provide Information

Chris Arnold (CRD #: 5908774), a broker formerly registered with USCA Securities, has been suspended by FINRA, according to his BrokerCheck record, accessed on March 6, 2023. Investors may have also engaged his services through CHS Hedging. Keep reading to learn more about his alleged conduct as a broker.

FINRA Suspension

On January 5, 2023, FINRA issued a Letter of Suspension alleging that Chris Arnold failed to respond to requests for information. Chris Arnold was indefinitely suspended starting on January 30, 2023, and his suspension will continue until FINRA receives the requested information or it converts to a bar.

FINRA Rule 9552

FINRA Rule 9552 penalizes members who fail to provide documents, information, or testimony requested by FINRA with a suspension. Members have the opportunity to request an end to their suspension within three months of its imposition, after which it becomes a permanent bar.

FINRA Rule 8210 

FINRA Rule 8210 requires registered brokers to provide information to FINRA as requested during the course of an investigation, complaint, or examination. 

Background Information

Chris Arnold has passed the following exams:

  • SIE – Securities Industry Essentials Examination
  • Series 99TO – Operations Professional Examination
  • Series 27 – Financial and Operations Principal Examination

He has also worked for USCA Securities (CRD#:103789) and Salient Capital (CRD#:147912).

Kurta Law Can Help

If you worked with Chris Arnold and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

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