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Roger Daly Barred by FINRA for Alleged Refusal to Provide Testimony

Roger Daly (CRD #: 1423097), a broker formerly registered with Odeon Capital Group, has been barred by FINRA, according to his BrokerCheck record, accessed on January 11, 2025. Keep reading if you want to know more about his alleged conduct as a broker.

Bar by FINRA

On December 2, 2024, Roger Daly consented to the entry of findings that he allegedly refused to appear for on-the-record testimony in connection with a FINRA investigation.

According to a Letter of Acceptance, Waiver & Consent (AWC), this investigation concerned allegations that Roger Daly entered and cancelled certain orders in U.S. Treasury securities while a broker with Brean Capital.

The AWC concluded that Roger Daly’s alleged refusal to appear for testimony constitutes a violation of FINRA Rules 8210 and 2010.

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.

FINRA Rule 2010

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

Sanctions

Roger Daly was permanently barred by FINRA starting December 2, 2024. You can access the AWC here.

Background Information

Roger Daly has passed the following exams:

  • On December 2, 2024, Government Securities Representative Examination – Series 72
  • Securities Industry Essentials Examination – SIE
  • National Commodity Futures Examination – Series 3
  • General Securities Representative Examination – Series 7
  • Uniform Securities Agent State Law Examination – Series 63

In the past, he worked for the following firms:

  • Odeon Capital Group (CRD#:148493)
  • Brean Capital (CRD#:23723)
  • Gleacher & Company Securities (CRD#:298)
  • Banc of America Securities (CRD#:26091)
  • BNP Paribas Securities Corporation (CRD#:15794)
  • PaineWebber (CRD#:8174)
  • The Nikko Securities Company International (CRD#:824)
  • Smith Barney (CRD#:7059)
  • Salomon Brothers (CRD#:740)

Kurta Law Can Help

If you worked with Roger Daly 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 that 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.