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FINRA Recommends Disciplinary Action Against Randell Ogden

Randell Ogden (CRD #: 2019815), a broker registered with Cambridge Investment Research, was recently investigated by FINRA, according to his BrokerCheck record, accessed on February 2, 2023. If you want to know more about his alleged conduct as a broker, read on.

FINRA Investigation

On December 6, 2022, FINRA entered a preliminary determination recommending disciplinary action be taken against Randell Ogden. A FINRA investigation allegedly found that he violated FINRA Rules 2010 and 8210 by improperly retaining private, personal client information after leaving Sage, Rutty, & Company, and failing to promptly respond to FINRA requests for information.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

FINRA Rule 8210

FINRA Rule 8210 requires members to submit their books and records for inspection and to appear for testimony in connection with FINRA investigations.

Regulation S-P

Firms are required to safeguard their clients’ personal information under Regulation S-P, which restricts disclosure of client information to unaffiliated third parties.

Background Information

Randell Ogden has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Randell Ogden is a registered broker in 16 states and a registered investment adviser in New York and Texas.

He has also worked for the following firms:

  • Sage, Rutty & Company (CRD#:3254)
  • 1717 Capital Management Company (CRD#:4082)
  • Pruco Securities (CRD#:5685)
  • The Prudential Insurance Company of America (CRD#:680)

Kurta Law Can Help

If you worked with Randell Ogden and you have concerns about your investments, please contact us today at 877-600-0098 or 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.