Cesar Rodriguez Was Sanctioned by FINRA

Cesar RodriguezPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 30, 2017 indicate that former Illinois-based Avenir Financial group broker/adviser Cesar Rodriguez has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rodriguez (CRD# 4451732).

Cesar Rodriguez has spent 17 years in the securities industry and was most recently registered with Avenir Financial Group in Bloomingdale, Illinois (2013-2015). Previous registrations include American Trust Investment Services in Whiting, Indiana; National Securities Corporation in Wheaton, Illinois; Chicago Investment Group in Chicago, Illinois; National Securities in Oakbrook Terrace, Illinois; Meyers Associates in New York, New York; Charles Morgan Securities in New York, New York; Fordham Financial Management in New York, New York; JH Darbie & Company in New York, New York; Joseph Gunnar & Company in New York, New York; Joseph Stevens & Company in Brooklyn, New York; Gunnallen Financial in Aurora, Illinois; Chase Investment Services in the Bronx, New York; and Meyers Associates in New York, New York. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and was sanctioned by FINRA.

In 2015 FINRA sanctioned Cesar Rodriguez following allegations he “defrauded investors by knowingly misrepresenting the true use of investor proceeds and improperly misusing the investors’ funds for personal expenses unrelated to the operation of his member firm’s branch office.” He was barred from acting as a broker or otherwise associating with firms that sell securities to the public.

In 2015 a customer alleged Cesar Rodriguez, while employed at Avenir Financial Group, executed unauthorized trades, breached his fiduciary duty, churned investments, engaged in manipulation, misrepresented material facts, made unsuitable recommendations, committed forgery, falsified account documents, and traded on margin without his permission. In March 2017 the complaint resulted in an award to the customer of more than $133,900.

If you or someone you know has lost money investing with Cesar Rodriguez, call the experienced attorneys at 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.

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