Richard Anthony Rodriguez Jr, of Fruitland Park Florida a stockbroker currently employed by Concorde Investment Services LLC is the subject of a customer initiated investment related complaint in which the customer requested $200,000.00 in damages supported by allegations that Rodriguez failed to inform the customer about the risks and features of non-traded real estate investment trusts purchased by the customer in 2016.
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Rodriguez has been identified in two additional customer initiated investment related disputes containing accusations of Rodriguez’s violative conduct during the time that he was associated with Concorde Investment Services LLC and Charles Schwab & Co., Inc. Specifically, on December 13, 2007, a customer initiated investment related complaint involving Rodriguez’s activities was resolved for $13,886.92 in damages based upon allegations that Rodriguez made mutual fund investment recommendations to the customer that were not suitable, and misrepresented information about the mutual funds selected for the customer’s account.
Then, on November 19, 2009, a customer initiated investment related complaint regarding Rodriguez’s conduct was settled to resolve accusations that Rodriguez poorly advised the customer in regards to the customer’s purchase of mutual fund investments.
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