Financial Advisor, Wilfred Rodriguez, Barred By FINRA For Failing To Cooperate With A FINRA Investigation
The Wolper Law Firm is currently investigating claims against Wilfred Rodriguez, a former Financial Advisor at Wells Fargo in Boca Raton, FL. Wilfred Rodriguez has been in the securities industry since the 1990s and previously worked at Prudential and PaineWebber.
According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on October 9, 2018, FINRA sanctioned Wilfred Rodriguez, barring him from the securities industry for failing to cooperate with a FINRA investigation regarding the conversion of client assets. Specifically, the FINRA sanction states:
“Without admitting or denying the findings, Rodriguez consented to the sanction and to the entry of findings that he failed to provide FINRA with requested documents and information in connection with FINRA’s investigation into allegations reported on his Form U5 and allegations that he converted funds of foreign customers’ and concealed it by falsifying account documents with inflated account values.”
For a full copy of the FINRA sanction, click https://www.finra.org/sites/default/files/fda_documents/2018059379401%20Wilfred%20Rodriguez%20Jr.%20CRD%202504369%20AWC%20va.pdf
If you or someone you know was a customer Wilfred Rodriguez and you experienced investment losses, please contact the Wolper Law Firm at 800.931.8452 or by email at firstname.lastname@example.org to discuss your specific situation and the legal options available. The Wolper Law Firm represents investors nationwide in securities litigation and arbitration.
Matt Wolper, the Managing Principal of the Wolper Law Firm, is a trial lawyer who has handled hundreds of securities cases during his career involving a wide range of products, strategies and securities. Prior to representing investors, he was a partner with a national law firm, where he represented some of the largest banks and brokerage firms in the world in securities matters.
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