RODOLFO GARZA-FERNANDEZ is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 201 SOUTH BISCAYNE BLVD, MIAMI, FL, 33131.
RODOLFO GARZA-FERNANDEZ has worked at MORGAN STANLEY since May 12, 2017
Disclosure History
RODOLFO GARZA-FERNANDEZ has 2 Disclosure Event(s).
Date: February 03, 2016 Category: Customer Dispute Allegations: CLIENT ALLEGES FORMER ADVISOR MISREPRESENTED STRUCTURED PRODUCT. OCCURENCE DATE: 05/2013-02/2016 DAMAGES UNSPECIFIED. Broker Comment: The product at issue was sold to the client by another registered representative.
Date: August 11, 2011 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT HIS MEXICAN PESOS WERE EXCHANGED TO US DOLLARS DESPITE HIS INSTRUCTIONS TO EXCHANGE THEM TO CANADIAN DOLLARS. CLIENT ALSO ALLEGES THAT THE FA TOLD HIM THAT THERE WERE NO BOND FUNDS WITH SWISS FRANCS AVAILABLE WHEN THERE WERE AND THAT THE FA GAVE HIM A BOGUS EXCHANGE RATE. Damage Amount Requested: $65,273.88 Broker Comment: CLAIM DENIED
More Information
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