ALAN TIMOTHY RODRIGUEZ is currently employed as a Broker and/or Investment Adviser at AMERICAN TRUST INVESTMENT SERVICES, INC. located at 230 W. MONROE SUITE 300, CHICAGO, IL, 60606.
ALAN TIMOTHY RODRIGUEZ has worked at AMERICAN TRUST INVESTMENT SERVICES, INC. since June 13, 2013
Disclosure History
ALAN TIMOTHY RODRIGUEZ has 14 Disclosure Event(s).
Date: August 30, 2012 Category: Judgment / Lien Judgment/Lien Amount: $12,737.72 Judgment/Lien Type: Tax Broker Comment: This was reported incorrectly on credit report. Discovered on April 30, 2018. Going to contact IRS to work on new payment plan.
Date: June 15, 2011 Category: Judgment / Lien Judgment/Lien Amount: $54,932.00 Judgment/Lien Type: Tax Broker Comment: IN OCTOBER 2012, I WORKED WITH THE INTERNAL REVENUE SERVICE TO ESTABLISH A PAYMENT PLAN/INSTALLMENT AGREEMENT TO PAY BACK TAXES. THE AGREEMENT WAS IN PLACE FOR ABOUT A YEAR. AT THAT TIME, I WAS WORKING AT NDX TRADING AND I HAD SEVERAL DISCUSSIONS WITH THEM REGARDING THE IRS SITUATION. MY WIFE'S HOURS WERE CUT IN HALF DUE TO THE FINANCIAL CRISIS FROM 2008-2010. MY INCOME DROPPED IN HALF AS WELL. PAYMENTS WERE TOO HIGH AND I COULDN'T MAKE THEM.IN DECEMBER 2013, THE IRS DID CONTACT ME AGAIN. THE IRS SENT ME A LETTER, I BELIEVE, REQUESTING ADDITIONAL INFORMATION, SUCH AS 1099S, W-2S, BANK STATEMENTS AND AN ACCOUNTING OF VALUABLES. I FULLY COMPLIED AND MAILED ALL OF THE INFORMATION REQUESTED TO THE IRS. I NEVER HEARD BACK FROM THE IRS.IN MAY 2015, I AGAIN ATTEMPTED TO CREATE AN INSTALLMENT PLAN. I FILLED OUT THE NECESSARY FORMS, MAILED THEM AND FOLLOWED UP WITH A PHONE CALL TO THE IRS TO MAKE SURE THEY RECEIVED MY REQUEST. I WAS TOLD BY THE AGENT ON THE PHONE THAT SOMEONE WOULD CONTACT ME. AS OF TODAY, I STILL HAVE NOT HEARD BACK FROM THEM REGARDING MY REQUEST. IN SEPTEMBER, I CALLED THE IRS. THEY GAVE ME A SPECIFIC PERSON (MS. WOOD, I BELIEVE) WHO WOULD BE MY REVENUE AGENT TO DISCUSS THE MATTER. I CALLED HER AND LEFT A MESSAGE SO THAT I CAN RE-ESTABLISH MY PAYMENT PLAN AND ALSO TO REMOVE THE LIEN.
Date: March 15, 2011 Category: Judgment / Lien Judgment/Lien Amount: $180,424.00 Judgment/Lien Type: Tax Broker Comment: IN OCTOBER 2012, I WORKED WITH THE INTERNAL REVENUE SERVICE TO ESTABLISH A PAYMENT PLAN/INSTALLMENT AGREEMENT TO PAY BACK TAXES. THE AGREEMENT WAS IN PLACE FOR ABOUT A YEAR. AT THAT TIME, I WAS WORKING AT NDX TRADING AND I HAD SEVERAL DISCUSSIONS WITH THEM REGARDING THE IRS SITUATION. MY WIFE'S HOURS WERE CUT IN HALF DUE TO THE FINANCIAL CRISIS FROM 2008-2010. MY INCOME DROPPED IN HALF AS WELL. PAYMENTS WERE TOO HIGH AND I COULDN'T MAKE THEM.IN DECEMBER 2013, THE IRS DID CONTACT ME AGAIN. THE IRS SENT ME A LETTER, I BELIEVE, REQUESTING ADDITIONAL INFORMATION, SUCH AS 1099S, W-2S, BANK STATEMENTS AND AN ACCOUNTING OF VALUABLES. I FULLY COMPLIED AND MAILED ALL OF THE INFORMATION REQUESTED TO THE IRS. I NEVER HEARD BACK FROM THE IRS.IN MAY 2015, I AGAIN ATTEMPTED TO CREATE AN INSTALLMENT PLAN. I FILLED OUT THE NECESSARY FORMS, MAILED THEM AND FOLLOWED UP WITH A PHONE CALL TO THE IRS TO MAKE SURE THEY RECEIVED MY REQUEST. I WAS TOLD BY THE AGENT ON THE PHONE THAT SOMEONE WOULD CONTACT ME. AS OF TODAY, I STILL HAVE NOT HEARD BACK FROM THEM REGARDING MY REQUEST. IN SEPTEMBER, I CALLED THE IRS. THEY GAVE ME A SPECIFIC PERSON (MS. WOOD, I BELIEVE) WHO WOULD BE MY REVENUE AGENT TO DISCUSS THE MATTER. I CALLED HER AND LEFT A MESSAGE SO THAT I CAN RE-ESTABLISH MY PAYMENT PLAN AND ALSO TO REMOVE THE LIEN.
Date: March 15, 2011 Category: Judgment / Lien Judgment/Lien Amount: $35,546.00 Judgment/Lien Type: Tax Broker Comment: IN OCTOBER 2012, I WORKED WITH THE INTERNAL REVENUE SERVICE TO ESTABLISH A PAYMENT PLAN/INSTALLMENT AGREEMENT TO PAY BACK TAXES. THE AGREEMENT WAS IN PLACE FOR ABOUT A YEAR. AT THAT TIME, I WAS WORKING AT NDX TRADING AND I HAD SEVERAL DISCUSSIONS WITH THEM REGARDING THE IRS SITUATION. MY WIFE'S HOURS WERE CUT IN HALF DUE TO THE FINANCIAL CRISIS FROM 2008-2010. MY INCOME DROPPED IN HALF AS WELL. PAYMENTS WERE TOO HIGH AND I COULDN'T MAKE THEM.IN DECEMBER 2013, THE IRS DID CONTACT ME AGAIN. THE IRS SENT ME A LETTER, I BELIEVE, REQUESTING ADDITIONAL INFORMATION, SUCH AS 1099S, W-2S, BANK STATEMENTS AND AN ACCOUNTING OF VALUABLES. I FULLY COMPLIED AND MAILED ALL OF THE INFORMATION REQUESTED TO THE IRS. I NEVER HEARD BACK FROM THE IRS.IN MAY 2015, I AGAIN ATTEMPTED TO CREATE AN INSTALLMENT PLAN. I FILLED OUT THE NECESSARY FORMS, MAILED THEM AND FOLLOWED UP WITH A PHONE CALL TO THE IRS TO MAKE SURE THEY RECEIVED MY REQUEST. I WAS TOLD BY THE AGENT ON THE PHONE THAT SOMEONE WOULD CONTACT ME. AS OF TODAY, I STILL HAVE NOT HEARD BACK FROM THEM REGARDING MY REQUEST. IN SEPTEMBER, I CALLED THE IRS. THEY GAVE ME A SPECIFIC PERSON (MS. WOOD, I BELIEVE) WHO WOULD BE MY REVENUE AGENT TO DISCUSS THE MATTER. I CALLED HER AND LEFT A MESSAGE SO THAT I CAN RE-ESTABLISH MY PAYMENT PLAN AND ALSO TO REMOVE THE LIEN.
Date: March 01, 2011 Category: Judgment / Lien Judgment/Lien Amount: $15,989.93 Judgment/Lien Type: Tax Broker Comment: I HAVE BEEN ON A PAYMENT PLAN WITH THE STATE OF ILLINOIS SINCE DECEMBER, 2012. LAST YEAR, I ADDED AN ADDITIONAL TAX YEAR, 2013, TO MY PLAN. AT THAT TIME, EVEN THOUGH I HAVE BEEN MAKING CONSTANT PAYMENTS EVERY MONTH, A LIEN WAS PLACED ON ME.
Date: October 28, 2002 Category: Regulatory
Date: May 24, 2002 Category: Customer Dispute Allegations: ALLEDGED:UNSUITABILITY, EXCESS TRADING SELF DEALING, UNAUTHORIZED TRADES GOING TO ARBITRATION NYSE DOCKET 2002-010687 Damage Amount Requested: $224,000.00 Settlement Amount: $60,000.00 Broker Comment: AG EDWARDS SETTLED FOR $60,000 STUCKERT HAS FILED ARBITRATION AGAINST MORGAN STANLEY THE FIRM ALAN WENT TO AFTER AG EDWARDS. MORGAN SETTLED $15,000 4/1/2004 MR RODRIGUEZ DISMISSED WITH PREJUDICE AND NO $14I 1 C IS NOT VALID AS MR . RODRIGUEZ PAID NOTHING!!!!!
Date: April 05, 2002 Category: Customer Dispute Allegations: CLIENT ALLEGES UNAUTHORIZED TRADING, CHURNING AND UNAUTHORIZED USE OF MARGIN. Damage Amount Requested: $100,000.00
Date: August 13, 2001 Category: Regulatory Initiated By: WISCONSIN DEPT OF FINANCIAL INSTITUTIONS, DIV OF SECURITIES Allegations: FAILURE TO COMPLETE AGENT LICENSE APPLICATION Resolution: Order Broker Comment: NEITHER 1D1B NOR 14D1D IS APPLICAPLE, REP FILED AND WITHDREW FROM REGISTRATION, HOWEVER WISC FILED A DENIAL ORDER
Date: February 07, 2001 Category: Regulatory Initiated By: NYSE--DEFERRED TO CBOE ON 2/16/2001 Allegations: ALLEGED UNSUITABLE, UNAUTHORIZED AND EXCESSIVE TRADES, HOWEVER TRADES WERE INITIATED BY THIRD PARTY WITH DISCRETIONARY AUTHORIZATION. Resolution: Other Broker Comment: NYSE OPENED IVESTIGATION ON 2/7/01. ON 2/16/01 DANIEL GOLDBERG OF NYSE ENFORCEMENT AND STEVEN SAMSON, ATTORNEY FOR RODRIGUEZ CONFIRMED DEFERRAL OF INVESTIGATION AND ACTION TO CBOE IN TELEPHONE CONVERSTAION. SEE CBOE 02-0029 FOR FINAL DISPOSITION.
Date: January 24, 2001 Category: Customer Dispute Allegations: CLAIMANT ALLEGES UNSUITABILITY, CHURNING AND UNAUTHORIZED TRADING IN CONNECTION WITH HER ACCOUNT. CUSTOMER DID NOT SPECIFY ANY DAMAGES IN HER COMPLAINT. Broker Comment: AG EDWARDS SETTLED WITH CLIENT, ALAN RODROIGUEZ THE RR DID NOTHING WRONG, ACCOUNT HAD THIRD PARTY TRADING AUTHORITY
Date: January 05, 2001 Category: Customer Dispute Allegations: UNSUITABLE INVESTMENTS, CHURNING AND UNAUTHORIZED TRADES. DAMAGES ARE NOT SPECIFIED BUT ARE BELIEVED TO BE IN EXCESS OF $5,000.00.
Date: December 04, 2000 Category: Customer Dispute Allegations: MISREPRESENTATION OF CD PURCHASE. DAMAGES ARE NOT SPECIFIED BUT ARE BELIEVED TO BE IN EXCESS OF $5,000. Settlement Amount: $3,019.86
Date: May 19, 2000 Category: Customer Dispute Allegations: CLIENT ALLEGES OMISSION OF MATERIAL FACTS, MISREPRESENTATION AND UNSUITABLE INVESTMENT. Damage Amount Requested: $33,156.90
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