Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2018 indicate that former New York-based Arive Capital Markets broker Casey Rodriguez, who has received customer disputes, was recently sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rodriguez (CRD# 4870499).
Casey Rodriguez has spent 10 years in the securities industry and was most recently registered with Arive Capital Markets in Farmingdale, New York (2015-2016). Previous registrations include Chelsea Financial Services in East Meadow, New York (2012-2015); Whitewood Group in Melville, New York (2012); Brookstone Securities in Garden City, New York (2008-2012); First Midwest Securities in Massapequa, New York (2008); Prestige Financial Center in Garden City, New York (2007-2008); the Concord Equity Group in Syosset, New York (2006-2007); and Gunnallen Financial in Tampa, Florida (2005). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 23, 2005, and Series 7 (General Securities Representative Examination), which he obtained on April 27, 2005. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received three customer complaints and two FINRA sanctions.
In February 2018 a customer alleged Casey Rodriguez, while employed at Arive Capital Markets, recommended unsuitable investments in stock products. The complaint settled for $15,000.
In July 2017 FINRA sanctioned him in connection to allegations he failed to respond to a FINRA request for information. He was consequently barred from association with any FINRA member in any capacity.
In April 2017 FINRA sanctioned him in connection to allegations he failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of such. He was consequently suspended from acting as a broker.
In 2015 a customer alleged Casey Rodriguez, while employed at Brookstone Securities, churned investments, recommended unsuitable securities, abused margin, breached his fiduciary duty, misrepresented material facts, committed fraud, and breached contract. The complaint resulted in an award to the customer of more than $72,100.
In 2011 a customer alleged Casey Rodriguez, while employed at Brookstone Securities, committed fraud, churned investments, breached written and oral contracts, made unsuitable investment recommendations, breached his fiduciary duty, acted negligently, committed deceit, and omitted material facts. The complaint settled in 2012 for $25,000.
If you or someone you know has lost money investing with Casey Rodriguez, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.