October 13, 2015
Jose Luis Rodriguez , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully violated FINRA by-laws and FINRA Rules 1122 and 2010 by failing to amend his Form U4 to disclose that he was the subject of multiple tax liens.
According to FINRA, Between March 2009-May 2013, twelve liens (11 by the Internal Revenue Service and 1 by the State of Illinois) were filed against Rodriguez.
AWC No. 2014041419201
Rodriguez was suspended for three months and fined $5,000.
According to FINRA records, Rodriguez was registered with Allstate Financial Services from 8/2005-9/2015.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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