NAHUEL RODRIGUEZ
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/12/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Nahuel Rodriguez (CRD No. 5633905), Respondent. DISCIPLINARY PROCEEDING No. 2013037144301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between approximately August 4, 2011 and June 28, 2013 (the "Relevant Period"), Nahuel Rodriguez ("Respondent") converted approximately $26,144 in assets owned by four different individuals, RT, JT, RO and FP (collectively, the "Investors")
12/03/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. NAHUEL RODRIGUEZ (CRD No. 5633905), Respondent. Disciplinary Proceeding No. 2013037144301 Hearing Officer-Andrew H. Perkins DEFAULT DECISION December 3, 2015, Former registered representative is barred for converting customers' funds and willfully misrepresenting material facts in connection with the sale of securities. For FINRA's Department of Enforcement,
Reference 2013037144301data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5633905 |
Other names1
Also known as1
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