Jason D. Rodriguez
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/27/2025: Between August 2023 and July 2024, Rodriguez willfully failed to amend his Uniform Application for Securities Industry Registration or Transfer (Form U4) to disclose two felony charges that were required to be disclosed. As a result, Rodriguez violated Article V, Section 2(c) of FINRA’s By-Laws and FINRA Rules 1122 and 2010. For these violations, Rodriguez is suspended in all capacities for three months and fined $7,500...
Reference 2024082970901data-portal.finra.orgfinra.org
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