Richard Anthony Rodriguez Jr, of Fruitland Park Florida a stockbroker currently employed by Concorde Investment Services LLC is the subject of a customer initiated investment related complaint in which the customer requested $200,000.00 in damages supported by allegations that Rodriguez failed to inform the customer about the risks and features of non-traded real estate investment trusts purchased by the customer in 2016.

Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Rodriguez has been identified in two additional customer initiated investment related disputes containing accusations of Rodriguez’s violative conduct during the time that he was associated with Concorde Investment Services LLC and Charles Schwab & Co., Inc. Specifically, on December 13, 2007, a customer initiated investment related complaint involving Rodriguez’s activities was resolved for $13,886.92 in damages based upon allegations that Rodriguez made mutual fund investment recommendations to the customer that were not suitable, and misrepresented information about the mutual funds selected for the customer’s account.

Then, on November 19, 2009, a customer initiated investment related complaint regarding Rodriguez’s conduct was settled to resolve accusations that Rodriguez poorly advised the customer in regards to the customer’s purchase of mutual fund investments.

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer

Guiliano Law Group

Our practice is limited to the representation of investors. Over the last three decades, we have recovered more than a hundred million dollars for more than 1,000 injured investors from all over the United States and several foreign countries. We accept representation purely on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a confidential consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at

Stockbroker Fraud. Securities Arbitration and Investment Fraud Lawyers.

National Practice. Contingent Fee. Confidential Free Consultation. (877) SEC-ATTY

Tags: ,

No comments yet.

Leave a Reply

Name (required)

Email (will not be published) (required)