Brandon Carl Rudolph of Las Vegas Nevada a stockbroker formerly registered with Chelsea Financial Services has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed a FINRA investigation into Rudolph’s potential engagement in private securities transactions. Letter of Acceptance Waiver and Consent No. 2016050388301 (May 9, 2018).
According to the AWC, FINRA launched an investigation into Rudolph’s activities to determine if he was selling away from Chelsea Financial Services. The AWC stated that on April 16, 2018, Rudolph was sent a request from FINRA personnel which called upon him to provide information to the regulator in furtherance of the investigation.
Evidently, on April 17, 2018, counsel for Rudolph partially responded to FINRA personnel but declined to provide information that was outstanding. FINRA reportedly followed up with another request for Rudolph’s information on April 18, 2018, according to Rule 8210. Ultimately, Rudolph acknowledged FINRA’s request for his information but declined to participate any further. FINRA found that Rudolph’s refusal to cooperate in that regard was violative of FINRA Rules 8210 and 2010.
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