Last Updated: February 2025, Austin, TX
Here’s what you need to know about Austin, TX, former stockbroker Rudy R. Mejia Jr.:
- Name: Mr. Rudy Ruben Mejia Jr.
- CRD Number: 6041154
- Current Status: Suspended from acting as a broker by FINRA
- Prior Employer: Estrada Hinojosa & Company, Inc. (June 2012 – July 2023)
- Function: Stockbroker / Financial Advisor
- Primary Location: Austin, TX
- Can Rudy Mejia be sued in FINRA arbitration? Yes
- Sanctioned by FINRA: Yes
If you’ve sustained damages from Mr. Mejia, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Rudy Mejia As Your Stockbroker?
On November 11, 2024, FINRA initiated a regulatory action (Docket #2023079264201) against Rudy Mejia while he was employed at Estrada Hinojosa & Company, Inc. The allegations include participation in private securities transactions without prior written notice to his member firm. Mr. Mejia co-founded a pooled investment fund that purchased $100,000 of limited partnership interests. Seven other investors also purchased limited partnership interests totaling $738,000.
FINRA also alleged that Mr. Mejia opened outside brokerage accounts without disclosure and executed 304 transactions without his firm’s knowledge or approval. The sanctions ordered included an eight-month suspension (November 18, 2024, to July 17, 2025) and a $10,000 civil penalty.
Allegations of Broker Misconduct Against Rudy Mejia
Customers and regulators have alleged the following misconduct in connection with Rudy Mejia’s handling of investments:
- Unauthorized Private Securities Transactions: Mr. Mejia participated in private securities transactions without notifying his employer, which violates FINRA Rule 3280 regarding private securities transactions of an associated person.
- Failure to Disclose Outside Brokerage Accounts: Mr. Mejia opened and controlled outside brokerage accounts, executing transactions without his firm’s consent or prior written notice. This is a potential violation of FINRA Rule 2010, which mandates brokers to uphold high standards of commercial honor.
The Financial Industry Regulatory Authority (FINRA) is responsible for regulating brokers and brokerage firms. It mandates the disclosure of customer complaints, regulatory sanctions, and other disciplinary actions to protect investors.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Rudy R. Mejia Jr., contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.