Rodney W. Turner, Esq.
Consultant

rodney.turner@oysterllc.com

Consultant

Arlington, VA

Rodney Turner joined Oyster Consulting in August 2011.  He brings 15 years of securities regulatory experience with FINRA (f/k/a NASD).  After starting as a fraud examiner with FINRA’s Market Regulation Department, Rodney transitioned to the Enforcement Department where he worked as an attorney for over 11 years and represented the regulator during enforcement proceedings.

At FINRA, Rodney investigated and prosecuted violations of FINRA/NASD Rules, MSRB Rules, and federal securities laws.  He worked on numerous investigations that covered a variety of securities products and issues, including the suitability and adequacy of disclosures during the sale of stocks (including penny stocks), variable annuities, equity-indexed annuities, and 529 plans.  Rodney also evaluated the sufficiency of advertising materials, anti-money laundering procedures, supervisory systems, regulatory disclosure filings (e.g., Form U4 and Form U5 filings) as well as firms’ compliance with SEC Regulation M, MSRB’s rule on gifts and gratuities, and FINRA’s rule prohibiting payments for market making.  

Rodney is admitted to practice law in Washington, D.C. and Virginia. He earned his Bachelor of Arts degree in Economics from the University of Virginia and his Juris Doctor degree from George Mason University School of Law.