Jesus Rodriguez Investigation
December 2021- El Paso, TX
According to publicly available records, Jesus Rodriguez, a former broker who last worked for Morgan Stanley discloses 5 recent customer complaints alleging misappropriation of funds and a regulatory sanction.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In 11/2021 FINRA permanently barred Rodriguez from the securities industry.
In August and September 2021 5 customers of Morgan Stanley alleged that there were fraudulent withdrawals from their accounts totaling more than $300,000.
Rodriguez began working for Morgan Stanley in 6/2009.In 8/2021 he voluntarily resigned following allegations that he used client lines of credit for his personal benefit.
If you have losses in an account handled by Jesus Rodriguez, call to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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