Michael C. Rodriguez of Dallas Texas a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith Incorporated has been named in a customer initiated investment related arbitration claim which settled for $475,000.00 in damages based upon accusations that Merrill Lynch or Rodriguez failed to supervise unit investment trust transactions that were placed in the customer’s investment account. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-00793 (Aug. 22, 2018).
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FINRA Public Disclosure additionally confirms that on June 9, 2008, a customer filed an investment related complaint concerning Rodriguez’s conduct in which the customer requested unspecified damages founded on allegations that while Rodriguez was employed by Merrill Lynch, Rodriguez effected unauthorized mutual fund trades in the customer’s account.
Rodriguez’s registration with Merrill Lynch Pierce Fenner Smith Inc. was terminated on October 3, 2017. Since May 1, 2018, Rodriguez has been associated with Stifel, Nicolaus & Company, Incorporated.
