Gilbert A. Rodriguez Jr.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/03/2026: From December 2019 to January 2022, while associated with Wells Fargo, Rodriguez caused at least 174 solicited purchases of unit investment trusts (UIT) in 36 customer accounts to be inaccurately marked as unsolicited. As a result, Rodriguez violated FINRA Rules 4511 and 2010. For this conduct, Rodriguez is suspended 15 business days in all capacities and fined $5,000.
Reference 2021069229101data-portal.finra.orgfinra.org
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