Litigation: SEC Charges Financial Advisor With Fraud for Stealing From Account Holders to Pay Personal Expenses
January 26, 2024
January 26, 2024
WASHINGTON, Jan. 26 -- The Securities and Exchange Commission issued the following litigation release (No. 3:24-CV-00027; W.D. Texas filed Jan. 24, 2024) involving Jesus Rodriguez:
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The Securities and Exchange Commission yesterday charged Jesus Rodriguez, a former financial advisor, with fraud for misappropriating more than $3.475 million from ten brokerage account holders and advisory clients.
The SEC's complaint (https://www.sec.gov/files/litigation/ . . .
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The Securities and Exchange Commission yesterday charged Jesus Rodriguez, a former financial advisor, with fraud for misappropriating more than $3.475 million from ten brokerage account holders and advisory clients.
The SEC's complaint (https://www.sec.gov/files/litigation/ . . .