Skip to main content

New York broker Casey Rodriguez barred by FINRA after facing allegations of churning

Casey Thomas (Casey Thomas Rodriguez) has consented to a sanction from FINRA (the Financial Industry Regulatory Authority). FINRA is a non-governmental regulator of securities firms that focuses on investor protection and market integrity through effective and efficient regulation of the securities industry. The attorneys of Fishman Haygood Investment Fraud Lawyers are currently investigating possible claims against stockbroker Casey Thomas.

In July 2017 Rodriguez was barred by FINRA indefinitely from practicing as a broker. Rodriguez worked for Active Capital Markets in Farmingdale, New York from 2015 to 2016.

Casey Rodriguez was previously associated with Chelsea Financial Services, Whitewood Group Inc., and Brookstone Securities. All were based in New York .

FINRA alleges that Casey Rodriguez engaged in the following misconduct: failed to request termination of his suspension within three months of notice.

Customers allege that Casey Rodriguez (alias Casey Thomas) engaged in churning, making unsuitable investments, breach of fiduciary duty, breach of contract, fraud and misrepresentation.

Casey Rodriguez has been the subject of at least 4 customer disputes.

If you invested money through Casey Thomas Rodriguez, we would like to talk to you. Fishman Haygood Investment Fraud Lawyers are experienced securities litigators. We have helped hundreds of clients recover their losses that were due to broker fraud or negligence. Contact us today to discuss your options and receive a free consultation.

Fishman Haygood Investment Fraud Lawyers represents investors who have suffered investment losses in claims against their brokers or financial advisors. Our experienced attorneys have brought securities fraud cases in state and federal courts across the nation, as well as in FINRA arbitration. We work to help investors recoup their losses.

Of course, all cases are different. For that reason, we analyze each client’s matter individually and provide our personalized evaluation only after considering all of the facts and circumstances of all possible claims. If you or someone you know is the victim of securities fraud, please contact a Fishman Haygood Investment Fraud lawyer today.

GWG Holdings Files for Bankruptcy: How Might That Impact L Bond Investors?