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Roger Braxton is the Subject of a FINRA Investigation

Dec 31, 2021 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." 

Background Information 

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. 

Kurta Law Can Help  

If you have been victimized by Roger Braxton as a broker, don't hesitate to get in touch with us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.  

For nearly 20 years, Kurta Law has advocated for investors 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. Please reach out with any questions about how to proceed.