Element Pointe Advisors Fires Daniel Rodriguez Following Outside Business Allegations
Daniel Rodriguez (CRD #:4720502) was recently fired by Element Pointe Advisors, according to his Brokercheck Record, accessed on January 15, 2022. Read on for more details regarding his termination.
On October 25, 2021, Element Pointe Advisors fired Daniel Rodriguez after he allegedly failed to report an outside business activity.
FINRA Rules 3270 and 2010
FINRA Rule 3270 requires that brokers provide written notice to their firms regarding their outside business activities. By engaging in an outside business activity without providing prior written notice to his firm, Daniel Rodriguez violated FINRA Rules 3270 and 2010.
A violation of FINRA Rule 3270 also constitutes a violation of FINRA Rule 2010, which requires registered representatives to observe high standards of commercial honor and just and equitable principles of trade.
Daniel Rodriguez has two businesses listed in the Outside Business Activity of his detailed BrokerCheck report:
- Professor at NYU Tandon School of Engineering
- Sponsor of vehicle used for passenger/food delivery
Daniel Rodriguez has passed the following exams:
- Series 63 - Uniform Securities Agent State Law Examination
- SIE - Securities Industry Essentials Examination
- Series 55 - Limited Representative-Equity Trader Exam
- Series 3 - National Commodity Futures Examination
- Series 7 - General Securities Representative Examination
- Series 24 - General Securities Principal Examination
- Series 4 - Registered Options Principal Examination
Besides Element Pointe Advisors, Daniel Rodriguez has also worked with Credit Suisse Securities (USA).
Kurta Law Can Help
If you lost money after working with Daniel Rodriguez, don't hesitate to contact us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.