Wilfred Rodriguez, formerly of Wells Fargo, Barred from Securities Industry

Have you lost money with financial advisor, Wilfred Rodriguez of Boca Raton, Florida?  We are investigating into allegations made by against Wilfred Rodriguez by FINRA (the Financial Industry Regulatory Authority).  FINRA barred Wilfred Rodriguez from the securities industry after he failed to respond to an investigation.  FINRA was investigating Rodriguez regarding allegations that he converted customer funds and concealed it by falsifying account documents with inflated account values.

Wilfred Rodriguez was a financial advisor and registered representative of Wells Fargo from 2003 to August 2018.   He worked at a branch office in Boca Raton, Florida.  Rodriguez was terminated by Wells Fargo.

Brokerage firms like Wells Fargo have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Ann Arbor, Michigan; and Seattle, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Florida and throughout the greater Miami area.  Attorney David Neuman is licensed to practice law in Florida.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Wells Fargo.

Click to view:  Rodriguez, Wilfred FINRA AWC

Click to view:  Rodriguez, Wilfred BrokerCheck 10.10.18

If you lost money with Wilfred Rodriguez or Wells Fargo, please CONTACT US at 720-599-3505 for a free evaluation of your case.

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency.  Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency.  All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact.  This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice.  Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis.  In contingent representation, clients may still be liable for costs.