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Rodrigo Fernandes Resigns from Brasil Plural Securities

Rodrigo Fernandes (CRD #: 6657108), a broker registered with BTG Pactual US Capital, was permitted to resign from his previous firm, according to his BrokerCheck record, accessed on June 8, 2023. If you want to know more about his alleged conduct as a broker, keep reading.

Resignation from Brasil Plural Securities

On March 29, 2023, Rodrigo Fernandes was permitted to resign from Brasil Plural Securities after allegedly engaging in the following forms of misconduct:

  • Violating his employment agreement and a forgivable loan compensation/payback agreement
  • Removing firm property without permission
  • Attempting to “entice the hiring” of employees from a client/partner of the firm

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Rodrigo Fernandes has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 24 – General Securities Principal Examination

Rodrigo Fernandes is a registered broker in Florida, Illinois, New York, and Texas.

He has also worked for Brasil Plural Securities (CRD#:159384).

Kurta Law Can Help

If you worked with Rodrigo Fernandes and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want 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. 

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