Voya Broker Barred After Allegations of Unsuitable Trading
Financial Industry Regulatory Authority Department of Enforcement
Rodger James Burskey
Background: Burskey entered the in October 1983. Burskey became registered as a General Securities Representative and a General Securities Principal in February 2000 and June 2001. In November 2006, Burskey registered with Voya Financial Advisors where he worked until the firm terminated his registration in November 2015.
In November 2015, FINRA staff commenced an investigation to determine whether Burskey had made unsuitable recommendations or engaged in discretionary trading.
Overview of Allegations: FINRA requested that Burskey appear and provide on-the-record testimony in connection with the ongoing FINRA examination. Burskey declined to appear for his testimony in violation of FINRA rules 8210 and 2010.
Result: Without admitting or denying the findings, Burskey consented to a bar from associating with any FINRA member firm in any capacity.