CESAR OMAR RODRIQUEZ

Regulator action

United States. Named in 3 sanctions listings.

Sanctions and listings3

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/27/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044960502 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cesar Omar Rodriguez ("Rodriguez"), Respondent General Securities Representative (CRD No. 4451732) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Respondent Cesar Omar Rodriguez submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing
Reference 2015044960502data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/22/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Avenir Financial Group (CRD No. 148490), Michael Todd Clements (CRD No. 1702071), Karim Ahmed Ibrahim a.k.a. Chris Allen (CRD No. 5983439), and Cesar Omar Rodriguez (CRD No. 4451732), Respondents. DISCIPLINARY PROCEEDING NO. 2015044960501 Hearing Officer: TEMPORARY CEASE AND DESIST CONSENT ORDER Based upon the parties' consent, the Hearing Panel issues this Temporary Cease and Desist Consent
Reference 2015044960501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/06/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFCE OF HEARING OFFCERS Department of Enforcement Complainant, V. Avenir Financial Group (CRD No. 148490), Michael Todd Clements (CRD No. 1702071), Karim Ahmed Ibrahim a.k.a. Chris Allen (CRD No. 5983439), and Cesar Omar Rodriguez (CRD No. 4451732), Respondents. DISCIPLINARY PROCEEDING No. 2015044960501 Hearing Officer: TEMPORARY CEASE AND DESIST CONSENT ORDER Based upon the parties' consent the Hearing Panel issues this Temporary Cease and Desist
Reference 2015044960501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4451732

Other names1

Also known as1

Cesar Omar Rodriguez

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