Atlanta, Georgia — February 13, 2026 — Former Atlanta, Georgia financial advisor Rogers Haydon (CRD# 4452565) resigned from Raymond James & Associates, Inc. in August 2025 following allegations of conduct inconsistent with firm policies on correspondence, advertising, outside business activities, selling away, and private securities transactions. Financial Industry Regulatory Authority records show that he is no longer registered as a broker and is currently employed as an investment adviser representative with Arkadios Wealth Advisors.
Mr. Haydon’s BrokerCheck report discloses that he voluntarily resigned from Raymond James & Associates in August 2025 after being accused of violating investment-related statutes, regulations, rules, or industry standards of conduct. According to the disclosure filed by both the firm and the broker, Mr. Haydon allegedly engaged in conduct inconsistent with firm policies on correspondence, advertising, outside business activities, selling away, and private securities transactions. The firm reported his termination date as August 28, 2025, while Mr. Haydon reported it as August 25, 2025. No specific dollar amounts or customer losses were disclosed in connection with these allegations.
Mr. Haydon’s record also shows one customer dispute from December 2010, when he was registered with Morgan Keegan & Company, Inc. The client alleged poor recommendation and poor advice resulting in poor performance with regard to mutual fund investments, and further expressed concern with regard to the service provided. The complaint involved mutual funds, including open-end and money market funds. Damages were unspecified but believed to be in excess of $5,000. The complaint was denied in May 2011.
For reference, FINRA Rule 3280 governs private securities transactions, commonly known as selling away. The rule states that no registered representative may participate in any private securities transaction unless the representative provides written notice to the member firm and obtains the firm’s written approval. Selling away occurs when a broker conducts securities transactions outside the scope of their employment with their registered firm, depriving the firm of its supervisory responsibilities and clients of important regulatory protections. Violations of this rule can result in fines, suspensions, or permanent bars from the securities industry, as such conduct undermines investor protection and the integrity of the brokerage system.
Additionally, FINRA Rule 3270 addresses outside business activities, requiring registered representatives to provide written notice to their member firm before engaging in any business activity outside the scope of their relationship with the firm. The rule is designed to ensure that firms can properly supervise their registered representatives and identify potential conflicts of interest. Failure to disclose outside business activities can result in disciplinary action, as such conduct prevents firms from fulfilling their supervisory obligations and may expose clients to undisclosed risks.
According to the Financial Industry Regulatory Authority, Rogers Haydon holds 24 years of securities industry experience. He is based in Atlanta, Georgia, and is currently employed as an investment adviser representative with Arkadios Wealth Advisors, a position he has held since September 2025. He was previously registered with Raymond James & Associates, Inc. from February 2013 to August 2025, Morgan Keegan & Company, Inc. from May 2005 to February 2013, and A. G. Edwards & Sons, Inc. from November 2001 to May 2005. Mr. Haydon has passed the Securities Industry Essentials Examination (SIE), the General Securities Representative Examination (Series 7), the Futures Managed Funds Examination (Series 31), the Uniform Securities Agent State Law Examination (Series 63), and the Uniform Combined State Law Examination (Series 66). He is not currently registered as a broker. (Information current as of February 13, 2026.)
Patil Law, P.C. represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses related to unsuitable investment recommendations, concerns about Raymond James advisors, unauthorized transactions, or other forms of investment misconduct, call us at 800-950-6553 or complete our contact form for a free and confidential consultation. Our experienced attorneys, including Chetan Patil and Gabriela Dubrocq, work on a contingency fee basis — you pay nothing unless we recover money for you through FINRA arbitration or other legal proceedings.
The information in this post is based on FINRA BrokerCheck records and public filings. Allegations described are pending or unproven and may be contested. All investors are entitled to fair treatment under securities laws. This is attorney advertising. Prior results do not guarantee a similar outcome. This communication is for informational purposes only and does not create an attorney-client relationship.