Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Guillermo Roditi Dominguez (Roditi Dominguez), previously associated with Cantella & Co., INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Roditi Dominguez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on February 25, 2021.
On February 25, 2021, the NFA’s Business Conduct Committee issued a complaint alleging that Roditi & Roditi LLC (Roditi) failed to timely file pool quarterly reports with NFA, and that Roditi and Guillermo Roditi Dominguez (Dominguez) failed to supervise the firm’s compliance with its regulatory obligations. As a principal of the firm and its sole AP, Dominguez is the individual at Roditi responsible for ensuring the firm complies with its regulatory obligations. By reason of the foregoing acts and omissions, Dominguez is charged with violations of NFA Compliance Rule 2-9(a).