ALFRED V RODRIGUEZ

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/05/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006004107901 TO: Department of Enforcement NASD RE: Alfred V. Rodriguez, Respondent CRD No. 4278690 Pursuant to Rule 9216 of NASD Code of Procedure, Alfred V. Rodriguez ("Rodriguez") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. this AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against
Reference 2006004107901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4278690

Other names1

Also known as1

ALFRED V. RODRIGUEZ

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