Jesus Rodriguez – Financial Advisor/Broker Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Jesus Rodriguez a/k/a Jesus Rodriquez CRD # 4888685
Jesus Rodriguez a/k/a Jesus Rodriquez was a licensed financial advisor with Morgan Stanley.
According to FINRA:
Rodriguez consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA during the course of its investigation of a Form U5 filed by his member firm. The findings stated that the U5 disclosed that Rodriguez had voluntarily resigned a month earlier following allegations regarding his use of client line of credit for his personal benefit.
Jesus Rodriguez has Customer Disputes
Customer Dispute 9/28/21: CLIENT ALLEGED THAT THERE WERE FRAUDULENT WITHDRAWALS FROM HIS ACCOUNT 2019 DAMAGES UNSPECIFIED.
Customer Dispute 9/9/21: CLIENT ALLEGES, INTER ALIA, THAT FUNDS WERE MISAPPROPRIATED FROM THEIR ACCOUNTS AND THAT THERE WERE UNAUTHORIZED MUTUAL FUND TRADES AS WELL 2020-2021 DAMAGES UNSPECIFIED
Customer Dispute 8/30/21: CLIENT ALLEGED THAT THERE WERE UNAUTHORIZED WITHDRAWALS OF FUNDS FROM HER ACCOUNT 2020-2021
Customer Dispute 8/23/21: CLIENT ALLEGED, INTER ALIA, THAT FUNDS WERE WITHDRAWN FROM THEIR ACCOUNT WITHOUT THEIR KNOWLEDGE 2017-2020
Customer Dispute 7/15/21: Clients allege, inter alia, that the FA used their line of credit for his personal benefit. 2017 – 2021
Goodman & Nekvasil, P.A. May Recover Investor Losses:
If you lost money on investments with Jesus Rodriguez and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Jesus Rodriguez’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for approximately 40 years. Goodman & Nekvasil, P.A. has recovered more than $250 million on behalf of victimized investors. If you lost money on investments with Jesus Rodriguez and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
Some of the information in this blog post was obtained on 1/7/2022 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.