Who is Arvind Saxena?
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Arvind Saxena is an investment advisor based in San Francisco, California, currently registered with US Capital Global Wealth. Previously, he was a broker with NYLife Securities as well as Eagle Strategies. With three years of industry experience, Mr. Saxena has passed several qualifying examinations, including:
- Securities Industry Essentials (SIE)
- Uniform Combined State Law Examination (Series 66)
- Uniform Securities Agent State Law Examination (Series 63)
- General Securities Representative Exam (Series 7TOs)
He is currently licensed in California.
Why Was Arvind Saxena Terminated From NYLife Securities?
In January 2026, NYLife Securities terminated Mr. Saxena after conducting an internal investigation. According to disclosure documents and public records:
- He was found to have violated company policy by engaging in a prohibited outside business activity.
- This activity specifically involved referring businesses to a commercial lender without company approval, despite explicit instructions to discontinue this practice.
- No securities products or clients were involved in these outside business activities per the disclosure.
NYLife Securities’ actions appear most closely aligned with FINRA Rule 3270, which prohibits registered representatives from engaging in outside business activities without obtaining prior written approval from their firm.
Understanding Outside Business Activity (“OBA”) Rules
To protect investors, FINRA Rule 3270 requires that all outside business activities are disclosed by the advisor and approved by their member firm. The rule is explicit:
- No registered person may be compensated by, or expect compensation from, any business conducted outside their member firm unless they have provided prior written notice and received approval from the firm.
These policies are essential for transparency and investor protection, ensuring that client interests are put first and avoiding potential conflicts of interest.
Disclosure Summary for Arvind Saxena
Publicly available sources as of March 2026 show no regulatory actions, customer-initiated complaints, or significant litigation involving Mr. Saxena. For your reference, here is a clear summary:
| Type of Disclosure | Count/Status |
|---|---|
| Customer‐initiated Arbitrations | 0 |
| Regulatory/Disciplinary Actions | 0 |
| Bankruptcy/Liens | 0 |
| Civil Litigation | 0 |
| SEC Enforcement Actions | 0 |
- No customer complaints or arbitrations have been filed against him.
- No regulatory actions by FINRA or the SEC are reported.
- There are no bankruptcy filings, liens, or levies on record.
- No civil or criminal lawsuits, and no negative media coverage has been identified.
To independently verify or review the most current records, you can search for Arvind Saxena via FINRA BrokerCheck (CRD# 7270550).
Red Flags and Key Takeaways for Investors
While no direct customer complaints or fraud allegations have surfaced, the fact that Mr. Saxena’s departure from NYLife Securities was due to prohibited outside business activities is something investors should take seriously. Here’s why:
- Outside business activities may introduce unmonitored risks for clients if not properly disclosed to, and supervised by, the broker’s registered firm.
- Even non-securities-related OBAs can represent potential conflicts of interest between advisor and client.
- The incident highlights the importance of choosing an advisor with a clear track record and firm oversight.
What Should You Do If You Invested With Arvind Saxena?
If you worked with Arvind Saxena, either at NYLife Securities (San Francisco, CA) or his current firm, and have concerns or questions about your investment accounts, it’s a smart step to review your statements, correspondence, and transaction history. Key signs to look for include:
- Unexplained withdrawals, transfers, or account changes
- Investments you do not recall authorizing
- Promotions involving non-traditional investment products or lending referrals
- Insufficient or unclear communication from your advisor
If anything feels unfamiliar or concerning, consult with an independent investment fraud attorney.
Free Consultation: Know Your Rights & Next Steps
Haselkorn & Thibaut understand the importance of protecting your investments and regaining peace of mind. If you have questions about your experiences with Arvind Saxena or believe you may have suffered financial harm, contact us now at 1 888-885-7162 for a free, confidential consultation. There is no fee unless we recover compensation for you.
Haselkorn & Thibaut is a national law firm focused exclusively on representing investors in securities fraud, broker misconduct, and investment loss cases. With over 50 years of collective experience and a 98% success rate, our mission is to protect your financial future. Don’t wait—reach out today to get the answers and support you deserve.
