Articles Tagged with Roderick Rodriguez

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roderick Rodriguez (Rodriguez), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $160,000.00 on July 17, 2025.

Respondent, through its broker solicited the Claimant to invest in high risk Alternative Investments. These Alternative Investments were represented as safe, low risk investments that provided retirement income, the reality is that these investments were illiquid, speculative investments that were not suitable for the Claimant.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roderick Rodriguez (Rodriguez), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $50,000.00 on March 11, 2023.

Allegations are overconcentration of client assets into a single illiquid investment.