Soreide Law Group, based in Pompano Beach, Florida, obtained the following information on the former Boca Raton, Florida, broker from FINRA’s website.
WILFRED RODRIGUEZ JR (also known as: WILFREDO RODRIGUEZ JR, WIL RODRIQUEZ) CRD#: 2504369, was barred by the Financial Industry Regulatory Authority, Inc. (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm on October 9, 2018. Without admitting or denying the findings, Rodriguez consented to the sanction and to the entry of findings that he failed to provide FINRA with requested documents and information in connection with FINRA's investigation into the allegations reported on his Form U5 and allegations that he allegedly converted funds of foreign clients' and concealed it by falsifying account documents with inflated account values.
WILFRED RODRIGUEZ JR was registered with Wells Fargo Clearing Services, LLC, in Boca Raton, FL, until August of 2018. Allegedly, Wells Fargo terminated his registration due to the fact that he allegedly moved funds between a client’s accounts to retain his status as an international financial advisor.
WILFRED RODRIGUEZ JR allegedly obtained the client’s authorization to do so, according to the FINRA report, but FINRA alleges Rodriguez not just converted clients’ funds, but falsified account documents by inflating account values, according to the FINRA letter of consent.
When FINRA requested documents for their investigation, Rodriguez failed to produce the documents requested by FINRA. Allegedly, Rodriguez’ lawyer told FINRA he would not provide the requested information, and was barred by FINRA.
Also, WILFRED RODRIGUEZ JR, consented to the Security and Exchange Commission’s (SEC) order without admitting or denying its findings, according to the letter of consent.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, WILFRED RODRIGUEZ JR was in the securities industry for 23 years and was listed with 7 firms, the most recent listed below:
07/01/2003 - 08/01/2018 WELLS FARGO CLEARING SERVICES, LLC - BOCA RATON, FL
If you’ve experienced financial losses due to the actions or recommendations of former WELLS FARGO CLEARING SERVICES, LLC of BOCA RATON, FL broker, WILFRED RODRIGUEZ JR, contact Soreide Law Group, conveniently based in Pompano Beach, Florida, and speak to an experienced securities lawyer, at no cost to you, regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents clients nationwide before FINRA. We operate on a contingency fee basis—no fee to you if no recovery.
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