Tag Archives: Ricardo Rodriguez-Stern

JP Morgan Stockbroker Barred For Failure To Cooperate

February 20, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Ricardo Rodriguez-Stern of New York New York is a former J.P. Morgan Securities LLC stockbroker who has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to an Office of Hearing Officers Default Decision containing findings that Rodriguez-Stern neglected to cooperate in a FINRA investigation into his customer […]

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JP Morgan Stockbroker Charged With Obstruction

November 07, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Ricardo Rodriguez-Stern, of New York, New York, a stockbroker formerly registered with JP Morgan Securities LLC, has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that he failed to cooperate with FINRA’s investigation into customer disputes that JP Morgan customers filed against him. Department of Enforcement v. Ricardo Rodriguez-Stern, Disciplinary Proceeding […]

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