Wilfred Rodriquez, Jr. (CRD#: 2504369, aka “Will” or “Wilfredo”) is a former registered broker and investment advisor whose last employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of Boca Raton, FL. His previous employers include Prudential Securities Incorporated (CRD#:7471) of New York, NY, UBS Painewebber Inc. (CRD#:8174) of Weehawken, NJ, and Citicorp Investment Services (CRD#:23988) of Long Island City, NY.
Two of Rodriquez’ previous employers were expelled by FINRA: Euro-Atlantic Securities Inc. (CRD#:21367, expelled 09/08/1997) of Boca Raton, and Biltmore Securities, Inc. (CRD#:25023, expelled 03/01/1999) of Fort Lauderdale, FL. No current employment information is available. He has been in the industry since 1994.
Wells Fargo filed a Uniform Termination Notice for Securities Industry Registration (Form U5) notifying FINRA that it ended Rodriquez’s employment with the firm. The cause for termination was described as, “[w]ith the permission of the customer, Mr. Rodriguez moved funds between customer’s related accounts in order to place authorized bond orders for the purposes of generating qualifying revenue so that [he] could retain his international financial advisor status.”
During the investigation, FINRA found that Wilfred Rodriquez, Jr. also converted foreign customers’ funds and concealed his deception when he supplied forged account documents with greatly inflated account values. Rodriquez also refused to supply documents when requested during the investigation. As a result, FINRA barred Rodriquez indefinitely, and in all capacities. Rodriquez signed the Acceptance, Waiver and Consent (AWC) letter on 10/5/2018, and it became effective 10/09/2018.
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