Gilbert Anthony Rodriguez Jr.

(CRD #5452850, Houston, Texas)

February 3, 2026 – An AWC was issued in which Gilbert Anthony Rodriguez Jr. was fined $5,000 and suspended from association with any FINRA member in all capacities for 15 business days. Without admitting or denying the findings, Rodriguez consented to the sanctions and to the entry of findings that he caused solicited purchases of Unit Investment Trusts (UITs) in customer accounts to be inaccurately marked as unsolicited. The findings stated that by causing these transactions to be mismarked, Rodriguez caused his member firm to maintain inaccurate books and records. The suspension was in effect from March 2, 2026, through March 20, 2026. (FINRA Case#2021069229101) If you have suffered losses as a result of Gilbert Anthony Rodriguez Jr.’s act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Gilbert Anthony Rodriguez Jr. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-330-6707 or email Matthew Schwartz directly at mschwartz@tslfirm.com.