Nex Systems
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FRANCISCO RODRIGUEZ

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/07/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. FRANCISCO RODRIGUEZ (CRD No. 2784002), Respondent. Disciplinary Proceeding No. 2011027345701 Hearing Officer-Andrew H. Perkins DEFAULT DECISION November 7, 2011 Respondent is barred from associating with any FINRA registered firm in any capacity for conversion of customer funds, in violation of NASD Conduct Rule 2330 and FINRA Conduct Rule 2010. Appearances For the FINRA Department of Enforcement,

    08/01/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. FRANCISCO RODRIGUEZ (CRD No. 2784002), RESPONDENT. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In June 2009, a customer of registered representative Francisco Rodriguez gave Rodriguez $10,000 from his brokerage account to invest in, or make a loan to, a construction firm owned by Rodriguez's brother. Rodriguez kept $5,000 of the money himself. By converting his customer's

    Reference 2011027345701data-portal.finra.orgdata-portal.finra.orgfinra.org

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