RONALD RAY RODRIGUEZ is currently employed as a Broker and/or Investment Adviser at PTX SECURITIES, LLC located at 6221 CHAPEL HILL BLVD., SUITE 200, PLANO, TX, 75093.
RONALD RAY RODRIGUEZ has worked at PTX SECURITIES, LLC since March 10, 2017
Disclosure History
RONALD RAY RODRIGUEZ has 2 Disclosure Event(s).
Date: October 03, 2002 Category: Customer Dispute Allegations: CUSTOMER CLAIMS THE DEGREE OF RISK ASSOCIATED WITH HIS INVESTMENT WAS NOT SUITABLE. Damage Amount Requested: $182,000.00 Settlement Amount: $89,000.00 Broker Comment: ORIGINAL COMPLAINT WAS DENIED. CLIENT FILED FOR ARBITRATION, BUT EVENTUALLY SETTLED BEFORE ARBITRATION HEARING.
Date: October 02, 1996 Category: Employment Separation After Allegations Firm Name: USAA EQUITY ADVISORS, INC. Termination Type: Discharged Allegations: MR RODRIGUEZ ADMITTED TO SIGNING AN INVESTORSNAME ON A TRANSFER DOCUMENT WITHOUT THE CLIENTS EXPRESS WRITTEN CONSENT, ONLY VERBAL CONSENT. Broker Comment: DURING MY HANDLING OF A DIVISION OF UNITS IN ALIMITED PARTNERSHIP, I RECEIVED PAPERWORK NECESSARY TOACCOMPLISH THIS; HOWEVER, ONE DOCUMENT WAS NOT PROPERLY COMPLETED ACCORDING TO THE LEGAL ASSISTANT. IN THE SIGNATUREAREA, THE CLIENTS NAME WAS PRINTED INSTEAD OF WRITTEN IN CURSIVE. IN MY WORKING THE INVESTORS WISHES BY COMPLETING THE DIVISION OF PARTNERSHIP UNITS BY QUARTER END, IEVALUATED THE SITUATION AND DETERMINED THAT IT WAS IN THE BEST INTEREST OF THE PARTIES INVOLVED TO SIGN BY THE PRINTED NAME, INITIAL AND COMPLETE, THUS ALLOWING FOR COMPLETION BY SEPTEMBER 30. UNFORTUNATELY, MY NEWLY APPOINTED DIRECT REPORT INDICATED THAT NOTICE SHOULD HAVE BEEN GIVEN TO HIM PRIOR TO MY ASSUMPTION OF RESPONSIBILITY.
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