Jesus Rodriguez, Formerly of Morgan Stanley, Barred by FINRA Following Refusal to Provide Information

Rodriguez is facing six pending customer disputes.

Jesus Rodriguez (CRD: 5534184) was registered as a broker with Morgan Stanley from 2009 until 2021. Previously, Rodriguez was registered as a broker with Citigroup Global Markets from 2008 until 2009.

Rodriguez has eight disclosures on his BrokerCheck report. 

November 2021 Regulatory Judgment

• Status: Final
• Initiated By: FINRA
• Allegations: Without admitting or denying the findings, Rodriguez consented to the sanction and to the entry of findings that he refused to provide information requested by FINRA after it received a customer complaint regarding him. The findings stated that Rodriguez’s member firm filed a Form U5 stating that he was discharged after he assisted a client with an investment not approved by the firm and communicated through unapproved email, both in violation of firm policy.
• Resolutation: Acceptance, Waiver & Consent (AWC)
• Sanctions: Bar
• Registration Capacities Affected: All Capacities Affected
• Duration: Indefinite
• Start Date: 11/29/2021

September 2021 Customer Dispute

• Status: Pending
• Allegations: Client alleged that there were fraudulent withdrawals from his account 2019 damages unspecified.

September 2021 Customer Dispute

• Status: Pending
• Allegations: Client alleges, inter alia, that funds were misappropriated from their accounts and that there were unauthorized mutual fund trades as well. 2020-2021 damages unspecified.

August 2021 Customer Dispute

• Status: Pending
• Allegations: Client alleged that there were unauthorized withdrawals of funds from her account. 2020-2021
• Damage Amount Requested: $266,000.00

August 2021 Customer Dispute

• Status: Pending
• Allegations: Client alleged, inter alia, that funds were withdrawn from their account without their knowledge. 2017-2020.

August 2021 Customer Dispute

• Status: Pending
• Allegations: Client alleges funds were misappropriated from her account in March 2020
• Damage Amount Requested: $28,000.00

August 2021 Employment Separation After Allegations

• Firm Name: Morgan Stanley
• Termination Type: Voluntary Resignation
• Allegations: Allegations regarding registered representative’s use of client line of credit for his personal benefit.

July 2021 Customer Dispute

• Status: Pending
• Allegations: Clients allege, inter alia, that the FA used their line of credit for his personal benefit. 2017-2021
• Damage Amount Requested: $61,431.00

Contact Us Today

The Sonn Law Group is currently investigating allegations surrounding Jesus Rodriguez. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.