Richard A. Rodriguez Jr. of Fruitland Park, Florida, a stockbroker formerly registered with Concorde Investment Services LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $500,000.00 in damages based upon allegations that Rodriguez made misrepresentations, acted negligently, breached a fiduciary duty, breached a contract, and violated securities laws with regard to the recommendation and sale of real estate investment trusts when Rodriguez was associated with Concorde Investment Services LLC. Financial Industry Regulatory Authority (FINRA) Arbitration No. 21-00846 (March 31, 2021).
Public Disclosure shows that Rodriguez is referenced in six total customer initiated investment related disputes concerning Rodriguez’s activities while associated with securities broker dealers, including Concorde Investment Services LLC. Rodriguez is referenced in a customer initiated investment related FINRA securities arbitration claim that was settled for $55,000.00 in damages based upon allegations that Rodriguez acted negligently and breached a fiduciary duty at Concorde Investment Services LLC. FINRA Arbitration No. 19-02848 (March 1, 2021).
On January 4, 2022, another arbitration claim involving Rodriguez’s conduct was settled for $45,000.00 in damages based upon allegations that Rodriguez breached a fiduciary duty, breached a contract, acted negligently, and violated Florida securities laws in connection with the recommendation and sale of direct investments when Rodriguez was associated with Concorde Investment Services LLC. FINRA Arbitration No. 20-04227.
