Roger Braxton is the Subject of a FINRA Investigation
Roger Braxton (CRD #: 6271694), a broker formerly registered with NyLife Distributors is subject of FINRA investigation for allegedly failing to respond to FINRA’s requests for information, according to his BrokerCheck Record, accessed on December 14, 2021.
On November 29, 2021, FINRA made a preliminary determination to recommend that disciplinary action be brought against Roger Braxton for allegedly violating of FINRA Rules 8210 and 2010 by failing to provide information and documents.
FINRA Rule 8210 requires that registered brokers supply FINRA staff with all information and documents requested in the course of an investigation. A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010, which requires member firms and their associated persons to "observe high standards of commercial honor and just and equitable principles of trade."
Roger Braxton has passed the following exams:
- Series 63 - Uniform Securities Agent State Law Examination
- SIE - Securities Industry Essentials Examination
- Series 6 - Investment Company Products/Variable Contracts Representative Examination
Roger Braxton has not worked with any other firm besides NyLife Distributors.
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