Wray Rodgers Barred by FINRA
Wray Rodgers (CRD #: 2842993), a broker previously registered with Vining-Sparks IBG, has been barred by FINRA, according to his BrokerCheck record, accessed on June 25, 2023. This followed an investigation into an alleged outside business activity. Details are provided below.
On June 7, 2023, Wray Rodgers was barred by FINRA following allegations that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into whether he engaged in an outside business without providing prior written notice to his member firm. FINRA was also investigating whether he allegedly misused customer funds.
You can read a copy of the Acceptance, Waiver, and Consent agreement here.
FINRA Rule 8210
FINRA Rule 8210 requires members to provide documents, information, and testimony upon request by FINRA.
FINRA Rule 3270
FINRA Rule 3270 requires brokers to disclose any business activities they engage in outside their firm, as well as any compensation they may receive from these activities.
Wray Rodgers does not report any outside business on his detailed BrokerCheck record.
FINRA Rule 2150
FINRA Rule 2150 prohibits the improper use of investors’ funds.
Background Information
Wray Rodgers has passed the following exams:
- Series 63 Uniform Securities Agent State Law Examination
- Series 79TO Investment Banking Registered Representative Examination
- SIE – Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
Besides Vining-Sparks IBG, Wray Rodgers has also registered with ICBA Securities (CRD #: 24088)
Kurta Law Can Help
If you worked with Wray Rodgers 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 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.
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