WILFRED RODRIGUEZ, JR

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/09/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059379401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Wilfred Rodriguez Jr., Respondent Former Registered Representative CRD No. 2504369 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Wilfred Rodriguez Jr. ("Rodriguez"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged
Reference 2018059379401finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2504369

Other names1

Also known as1

Wilfred Rodriguez Jr.

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