Ricardo Rodriguez, Ricardo Rodriguez-Stern, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Ricardo Rodriguez, Ricardo Rodriguez-Stern, CRD #4676168
Ricardo Rodriguez-Stern was previously licensed with J.P. Morgan Securities in New York. FINRA reports that Ricarod Rodriguez was barred from the securities and investment banking industry in March 2018.
ACCORDING TO FINRA: Ricardo Rodriguez-Stern was named a respondent in a FINRA complaint alleging that he failed to provide FINRA-requested documents and information related to an investigation into his potential misconduct regarding his failure to timely disclose via amended Form U4 10 unsatisfied tax liens and civil judgments filed between 2006 and 2013. The complaint alleges that FINRA also sought to investigate the circumstances behind 12 customer complaints that had been lodged against Ricardo Rodriguez-Stern.
If you lost any money on investments with Ricardo Rodriguez-Stern, you may be able to recover your losses. If you lost money on investments with Ricardo Rodriguez-Stern 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 Ricardo Rodriguez-Stern’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 more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Ricardo Rodriguez-Stern 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.
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