Rogers Haydon – Atlanta, GA Stockbroker Investigation: What Investors with Raymond James & Associates Need to Know
Table of Contents
Haselkorn & Thibaut has launched an independent investigation into Rogers Haydon, a former registered representative of Raymond James & Associates, Inc. in Atlanta, GA (CRD#: 4452565). Whether you are a current or former client, understanding your rights and reviewing his record objectively are the first steps in protecting your investments and seeking potential recovery.
Who is Rogers Haydon?
Rogers Haydon is a financial advisor who, as of September 2025, acts as an Investment Adviser Representative for Arkadios Wealth Advisors in Atlanta, GA. He previously held positions at several notable financial institutions, including:
- Raymond James & Associates, Inc. (Atlanta, GA) | 02/2013–09/2025
- Morgan Keegan & Company, Inc. | 05/2005–02/2013
- A.G. Edwards & Sons, Inc. | 11/2001–05/2005
He is also affiliated with Haydon Consulting LLC, according to his publicly available background.
Public Record and Regulatory Background
Investors value transparency, especially when it involves their advisor’s professional history. Based on our comprehensive research and the latest BrokerCheck review:
| Area | Findings as of October 2025 |
|---|---|
| Customer Disputes | No reported customer disputes or arbitration claims |
| Regulatory Actions | No FINRA, SEC, or state-level enforcement actions |
| Financial Events | No bankruptcy filings or tax liens |
| Civil Litigation | No civil lawsuits or judgments found |
| Other Media | No reports of whistleblower complaints or press investigations |
You can independently review this record at FINRA BrokerCheck. For the very latest updates or further specifics, contact us directly.
Why Has an Investigation Been Opened?
While no customer complaints or regulatory actions are currently listed, Haselkorn & Thibaut’s investigation centers around a key event in August 2025: Rogers Haydon’s voluntary resignation from Raymond James & Associates. According to disclosures, his departure was linked to findings by the firm alleging conduct inconsistent with firm policies. The listed concerns included:
- Correspondence and advertising procedures
- Outside business activities (OBA)
- Selling away and private securities transactions
These matters are governed by FINRA Rule 3280 and related supervisory standards. “Selling away” involves a broker recommending or selling securities not approved or offered by the advisor’s firm – often raising questions about risk, suitability, and regulatory compliance.
Detailed Look: Complaints, Investigations, and Compliance Issues
Based on a thorough review, no formal client complaints, arbitrations, or regulatory actions have been recorded to date against Rogers Haydon. However, investors should view with care any voluntary resignation following internal concerns, especially those involving:
- Violation of Firm Policies: These may suggest lapses in oversight or adherence to firm/industry rules.
- Outside Business Activities: FINRA and broker-dealers require supervisors to monitor any outside business ventures to ensure they don’t conflict with the best interests of clients.
- Selling Away / Private Securities Transactions: These serious allegations place investor portfolios at possible risk, as activities undertaken outside the knowledge or approval of the primary broker-dealer may not be subject to regulatory protections or firm oversight.
While the formal record lacks customer harm or losses, the red flags associated with procedural violations remain relevant to both current and former clients assessing the prudence and transparency of their investments.
What Does This Mean for Investors?
Procedural and compliance allegations—especially those that lead to an advisor’s separation—deserve prompt attention. Even in the absence of public regulatory penalties or known losses, you may benefit from an independent and objective review of your accounts if:
- You held or currently hold accounts managed by Rogers Haydon at Raymond James & Associates or any previous brokerage
- You participated in private securities transactions, investments outside Raymond James’s product menu, or were made aware of non-traditional investments
- You wish to ensure the advice and transactions you received aligned with regulatory and firm guidelines
How Haselkorn & Thibaut Can Help
Haselkorn & Thibaut is a national securities fraud law firm with over 50 years of experience representing investors across the United States. Our legal team has a 98% success rate and has recovered millions for investors through FINRA arbitration and related claims. You pay no legal fees unless we recover compensation for you.
How our process works:
- Complimentary Case Review: Speak directly with an attorney to review your investments and suitability of transactions.
- Comprehensive Account Analysis: We scrutinize account statements, correspondence, and investment recommendations for red flags or losses.
- No Fee Unless We Recover: Our representation is offered on a contingency fee basis—you owe us nothing unless we successfully recover funds for you.
Request Your Free Consultation Today
If you are a current or former client of Rogers Haydon (Atlanta, GA) at Raymond James & Associates, Inc., or if you have questions or concerns about your investments, contact Haselkorn & Thibaut today at 1-888-994-8066 for a free, confidential discussion of your situation with a seasoned investment loss attorney.
Don’t wait to get the answers and clarity you deserve. Safeguard your future and let our nationally recognized investor attorneys help you evaluate your options—with no cost and no obligation.
