Between August 2023 and July 2024, Rodriguez willfully failed to amend his Uniform Application for Securities Industry Registration or Transfer (Form U4) to disclose two felony charges that were required to be disclosed. As a result, Rodriguez violated Article V, Section 2(c) of FINRA’s By-Laws and FINRA Rules 1122 and 2010. For these violations, Rodriguez is suspended in all capacities for three months and fined $7,500...

From July to September 2022, Firstrade Securities distributed retail communications concerning crypto assets or crypto asset-related services which failed to clearly disclose that crypto assets were not offered through a registered broker-dealer, or which did not provide a fair and balanced presentation of the benefits and risks of the products discussed. Therefore, Firstrade Securities violated FINRA Rules 2210( d) and 2010 and is censured and fined $85,000...

From January 2020 to at least September 2022, Public Investing paid individuals with followings on social media sites (commonly known as “influencers”) to promote the firm in social media communications. Some of those communications included statements that were not fair and balanced or made claims that were misleading or unwarranted.