Betty Rodriguez, of Weston, Florida, a stockbroker formerly registered with Wells Fargo Advisors, LLC, is the subject of a customer initiated investment related arbitration claim on May 27, 2016, in which the customer requested $6,268.90 in damages based upon allegations that Rodriguez, in May of 2016, effected unauthorized mutual fund transactions in the customer’s account.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Rodriguez has been mentioned in three more customer initiated investment related disputes containing allegations of her wrongdoing while she was associated with Banc of America Investment Services Inc. and Morgan Keegan & Company, Inc. Particularly, on March 31, 2004, a customer filed an investment related written complaint involving Rodriguez’s conduct, in which the customer requested $1,000,000.00 in damages based upon allegations against Rodriguez of making omissions about investments, churning the customer’s mutual fund portfolio, trading without the customer’s authorization, and effecting margin transactions without consent.
Subsequently, on February 18, 2009, a customer filed an investment related written complaint regarding Rodriguez’s activities, wherein the customer requested $33,000.00 in damages based upon allegations that Rodriguez made unsuitable investment recommendations to the customer about annuities. Moreover, on October 6, 2014, a customer filed an investment related written complaint pertaining to Rodriguez’s activities, in which the customer sought $27,000.00 in damages supported by allegations that Rodriguez failed to apprise the customer of penalties pertaining to the surrender of the customer’s account.
Guiliano Law Group
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