Tag Archives: Carlos Antonio Rodriguez

UBS Financial Sued By Investors For Master Limited Partnership Sales

Carlos Antonio Rodriguez of Plano Texas a stockbroker formerly registered with UBS Financial Services Inc. is the subject of a customer initiated investment related arbitration claim where the customer sought more than $3,600,000.00 in damages founded on allegations that (1) the customer had been placed into oil and gas master limited partnerships and mutual funds […]

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FINRA Bars UBS Stockbroker In Investigation

November 01, 2017  |   Posted by :   |   Selling Away and Outside Activities   |   0 Comments

Carlos Antonio Rodriguez of Plano, Texas, a stockbroker formerly registered with UBS Financial Services, Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity on October 10, 2017, based upon allegations that he failed to provide FINRA personnel with information about his business activities. Case No. 2015046502101 (July 5, […]

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