FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Roger Lee Arnold CRD No. 5284151, Respondent. Disciplinary Proceeding No. 2021072142202 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Roger Lee Arnold failed to respond to three FINRA requests for information and documents made pursuant to FINRA Rule 8210 as part of FINRA staff’s investigation into the circumstances surrounding Arnold’s resignation from his FINRA member firm. As a result, Arnold violated FINRA Rules 8210 and 2010.