June 16, 2025
FINRA Barred
ChapmanAlbin is investigating potential claims on behalf of investors who worked with former broker Christopher Robert Arnold, who has been barred from the securities industry by FINRA.
According to the Securities and Exchange Commission, Arnold was permanently barred after failing to cooperate with FINRA’s investigation into possible securities law violations during his time at USCA Securities, LLC. In October and November 2022, FINRA sent multiple formal requests for Arnold to appear for testimony. Despite receiving the notices, Arnold failed to respond or appear for scheduled interviews.
FINRA subsequently initiated expedited disciplinary proceedings and suspended Arnold in January 2023. After he failed to request a hearing or comply with the investigation by April 2023, FINRA imposed a permanent bar. Arnold later claimed he had not received proper notice due to a move, but he had not updated his official address with the Central Registration Depository as required. The SEC ultimately dismissed his appeal, citing his failure to exhaust administrative remedies.
If you invested with Christopher Robert Arnold and believe you suffered financial harm or had concerns about the handling of your investments, contact ChapmanAlbin. We help investors recover losses caused by broker misconduct and negligence.
Contact us today at chapmanalbin.com or call 1-877-410-8172 for a free consultation.
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