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FINRA Broker Allegations

Allegations against: Jesus Rodriguez

Allegation type: Regulatory

Allegation status: Final

The allegations read: Without admitting or denying the findings, rodriguez consented to the sanction and to the entry of findings that he refused to provide information and documents requested by finra during the course of its investigation of a form u5 filed by his member firm. The findings stated that the u5 disclosed that rodriguez had voluntarily resigned a month earlier following allegations regarding his use of client line of credit for his personal benefit.

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