Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Daly (Daly), previously associated with Odeon Capital Group LLC, has at least one disclosable event. These events include one tax lien, alleging that Daly recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on December 02, 2024.
Without admitting or denying the findings, Daly consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection to its investigation into Daly’s entry and full cancellation of certain orders in U.S. Treasury securities.
