FINRA Bars J.P. Morgan Rep Ricardo Rodriguez-Stern

FINRA Bars J.P. Morgan Rep Ricardo Rodriguez-Stern

The Financial Industry Regulatory Authority Inc. (FINRA) has barred former J.P. Morgan rep and securities broker Ricardo Rodriguez-Stern from the securities industry. The regulator was investigating customer complaints against Rodriguez-Stern, who failed to appear at a hearing.

Ricardo Rodriguez-Stern Investigated by FINRA

J.P. Morgan terminated Rodriguez-Stern in January 2016 for improper account access. According to a report filed by FINRA, Rodriguez-Stern accessed a client’s account to contact them for personal reasons.

After the termination, FINRA opened an investigation into Rodriguez-Stern’s activities. The broker allegedly failed to disclose 10 unsatisfied tax liens and several civil judgments filed between 2006 and 2013. FINRA’s enforcement department also planned to investigate the circumstances surrounding 12 customer complaints against the broker.

Rodriguez-Stern joined Chase Investment Services in 2010, which changed its named to J.P. Morgan Securities in 2012. Prior to J.P. Morgan he held positions at American Capital Partners, Merrill Lynch, Gunn Allen and AXA Advisors.

Are You a Victim of Stockbroker Misconduct?

If you lost money as a result of former J.P. Morgan broker Ricardo Rodriguez-Stern or have been a victim of stockbroker misconduct, contact a qualified investment fraud attorney today.

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