FINRA bars Ricardo Rodriguez-Stern (CRD #4676168, Great Neck, New York)
What is FINRA Rule 2010? FINRA Rule 2010 is a broad, sweeping rule that is utilized to address misconduct that is not directly addressed by another FINRA rule. The rule is centered around the use of ethical business practices by brokers and financial institutions....read more
March 5, 2018 – An Office of Hearing Officers (OHO) decision became final in which Rodriguez-Stern was barred from association with any FINRA member in all capacities. The sanction was based on findings that Rodriguez-Stern failed to provide information and documents requested by FINRA during an investigation into his potential failure to timely disclose 10 unsatisfied tax liens and civil judgments filed between 2006 and 2013 on his Uniform Application for Securities Industry Registration or Transfer (Form U4) and the circumstances surrounding 12 customer complaints. (FINRA Case #2016048870601). If you or someone you know has lost money investing with Ricardo Rodriguez-Stern, call the experienced attorneys at Epperson & Greenidge at 877-445-9261 for a free consultation. You may be eligible to recoup your losses. Epperson & Greenidge accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-445-9261 now to speak to an attorney for free.