Between May 14, 2019 and April 28, 2021, Court exercised discretion without written authorization in connection with 604 trades in 10 customers' accounts. As a result, Court violated FINRA Rules 3260(b) and 2010. For these violations, Court is suspended for one month in all capacities.

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...