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Roger Hickman Allegedly Failed to Respond to FINRA Requests for Information

Nov 15, 2022 FINRA Suspension

Roger Hickman (CRD #: 2996012), a broker formerly registered with State Farm VP Management Corporation, has been suspended by FINRA, according to his BrokerCheck record, accessed on October 23, 2022. Read on if you have questions about his conduct as a broker.

FINRA Suspension

On July 29, 2022, FINRA served Roger Hickman a Letter of Suspension alleging that he failed to respond to requests for information. His suspension began on August 22, 2022, and will continue until the requested information is received by FINRA or the suspension 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. This suspension converts to a bar if the member fails to request an end to their suspension within three months.

FINRA Rule 2010

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

Criminal Charge

On November 19, 2019, Roger Hickman pleaded guilty to a Class 4 felony.

Background Information

Roger Hickman 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

He previously worked for State Farm VP Management Corporation (CRD#:43036).

Kurta Law Can Help

If you worked with Roger Hickman 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.