Kristopher A. Galicia Rodriguez of New Windsor New York a stockbroker formerly registered with NYLife Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by accusations that he failed to provide information to FINRA that had been requested from him. Case No. 2017053367801 (Aug. 7, 2017).
FINRA Public Disclosure reveals that FINRA initially issued Rodriguez a Notice of Suspension on May 2, 2017, and then suspended him in all capacities on May 26, 2017. Apparently, FINRA warned Rodriguez at that time that he needed to provide FINRA with the requested information, or otherwise seek that his suspension be terminated, no later than August 6, 2017. FINRA never received a response from Rodriguez by the deadline imposed, which resulted in Rodriguez having been automatically barred in all capacities on August 7, 2017.
FINRA Public Disclosure indicates that prior to FINRA having barred Rodriguez from the securities industry, he was terminated by NYLife Securities LLC on January 25, 2017 founded on allegations that multiple customers lodged complaints against Rodriguez in reference to Rodriguez’s life insurance product practices.
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