Tag Archives: Wilfred Rodriguez Jr.

Wells Fargo Stockbroker Accused of Misappropriating $3.6 Million

July 11, 2020  |   Posted by :   |   Misappropriation of Funds, Securities Arbitration Claims, Stockbroker Theft   |   Comments Off on Wells Fargo Stockbroker Accused of Misappropriating $3.6 Million

Wilfred Rodriguez Jr. of Boca Raton Florida a stockbroker formerly associated with Wells Fargo Advisors has been referenced in a customer initiated investment related written complaint on December 14, 2019 in which the customer requested $3,600,000.00 in damages supported by allegations of misappropriation and unauthorized transactions during the period in which Rodriguez was employed by […]

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FINRA Bars Wells Fargo Broker In Theft Investigation

Wilfred Rodriguez Jr. of Boca Raton Florida a stockbroker formerly registered with Wells Fargo Clearing Services LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to comply with FINRA’s requests in an investigation into Rodriguez’s purported conversion of customer […]

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