cesar omar rodriguezcesar o. rodriguez crd# 4451732 this broker is not currently registered. report...

BrokerCheck Report

CESAR OMAR RODRIGUEZ

Section Title

Report Summary

Broker Qualifications

Registration and Employment History

Disclosure Events

CRD# 4451732

1

2 - 3

5 - 6

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Page(s)

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About BrokerCheck®

BrokerCheck offers information on all current, and many former, registered securities brokers, and all current and formerregistered securities firms. FINRA strongly encourages investors to use BrokerCheck to check the background ofsecurities brokers and brokerage firms before deciding to conduct, or continue to conduct, business with them.

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CRD® and is a combination of: o information FINRA and/or the Securities and Exchange Commission (SEC) require brokers and

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http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/P455414


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CESAR O. RODRIGUEZ

CRD# 4451732

This broker is not currently registered.

Report Summary for this Broker

This report summary provides an overview of the broker's professional background and conduct. Additionalinformation can be found in the detailed report.

Disclosure Events

All individuals registered to sell securities or provideinvestment advice are required to disclose customercomplaints and arbitrations, regulatory actions,employment terminations, bankruptcy filings, andcriminal or civil judicial proceedings.

Are there events disclosed about this broker? Yes

The following types of disclosures have beenreported:

Type Count

Regulatory Event 2

Customer Dispute 3

Termination 2

Judgment/Lien 1



This broker has passed:

0 Principal/Supervisory Exams

2 General Industry/Product Exams

1 State Securities Law Exam

Registration History

This broker was previously registered with thefollowing securities firm(s):

AVENIR FINANCIAL GROUPCRD# 148490Bloomingdale, IL07/2013 - 04/2015

B

AMERICAN TRUST INVESTMENTSERVICES, INC.CRD# 3001WHITING, IN01/2012 - 07/2013

B

NATIONAL SECURITIES CORPORATIONCRD# 7569WHEATON, IL07/2010 - 01/2012

B

www.finra.org/brokercheck User Guidance

1�2020 FINRA. All rights reserved. Report about CESAR O. RODRIGUEZ.


http://www.finra.org/brokercheck

http://www.finra.org/brokercheck_reports



Registrations

This section provides the self-regulatory organizations (SROs) and U.S. states/territories the broker is currently registered and licensed with, thecategory of each license, and the date on which it became effective. This section also provides, for every brokerage firm with which the broker iscurrently employed, the address of each branch where the broker works.








Industry Exams this Broker has Passed

This individual has passed 0 principal/supervisory exams, 2 general industry/product exams, and 1 state securities law exam.

This section includes all securities industry exams that the broker has passed. Under limited circumstances, a broker may attain a registrationafter receiving an exam waiver based on exams the broker has passed and/or qualifying work experience. Any exam waivers that the broker hasreceived are not included below.

Exam Category Date

Principal/Supervisory Exams

No information reported.

Exam Category Date

General Industry/Product Exams

Securities Industry Essentials Examination 04/27/2015SIEB

General Securities Representative Examination 01/25/2006Series 7B

Exam Category Date

State Securities Law Exams

Uniform Securities Agent State Law Examination 07/08/2008Series 63B

Additional information about the above exams or other exams FINRA administers to brokers and other securities professionals can be found atwww.finra.org/brokerqualifications/registeredrep/.





www.finra.org/brokerqualifications/registeredrep/



Professional Designations

This section details that the representative has reported 0 professional designation(s).

No information reported.







Registration History

Registration Dates Firm Name CRD# Branch Location

The broker previously was registered with the following firms:

B 07/2013 - 04/2015 AVENIR FINANCIAL GROUP 148490 Bloomingdale, IL

B 01/2012 - 07/2013 AMERICAN TRUST INVESTMENTSERVICES, INC.

3001 WHITING, IN

B 07/2010 - 01/2012 NATIONAL SECURITIES CORPORATION 7569 WHEATON, IL

B 01/2010 - 07/2010 CHICAGO INVESTMENT GROUP, LLC 11853 CHICAGO, IL

B 01/2009 - 03/2009 NATIONAL SECURITIES CORPORATION 7569 OAKBROOK TERRACE, IL

B 11/2008 - 01/2009 MEYERS ASSOCIATES, L.P. 34171 NEW YORK, NY

B 09/2008 - 11/2008 CHARLES MORGAN SECURITIES, INC. 138887 NEW YORK, NY

B 07/2008 - 10/2008 FORDHAM FINANCIAL MANAGEMENT, INC. 20996 NEW YORK, NY

B 05/2008 - 05/2008 J.H. DARBIE & CO., INC. 43520 NEW YORK, NY

B 05/2007 - 06/2007 JOSEPH GUNNAR & CO. LLC 24795 NEW YORK, NY

B 03/2007 - 03/2007 JOSEPH STEVENS & COMPANY, INC. 35459 BROOKLYN, NY

B 01/2007 - 03/2007 GUNNALLEN FINANCIAL, INC 17609 AURORA, IL

B 06/2006 - 01/2007 CHASE INVESTMENT SERVICES CORP. 25574 BRONX, NY

B 01/2006 - 03/2006 MEYERS ASSOCIATES, L.P. 34171 NEW YORK, NY

Employment History

Employment Employer Name Investment RelatedPosition Employer Location

This section provides up to 10 years of an individual broker's employment history as reported by the individual broker on the most recently filedForm U4.

Please note that the broker is required to provide this information only while registered with FINRA or a national securities exchangeand the information is not updated via Form U4 after the broker ceases to be registered. Therefore, an employment end date of"Present" may not reflect the broker's current employment status.

06/2013 - Present AVENIR FINANCIAL GROUP ACCOUNTEXECUTIVE

Y WHEATON, IL, United States







Employment History, continued

Employment Employer Name Investment RelatedPosition Employer Location

07/2010 - Present NAVISIS FINANCIAL REGISTEREDREPRESENTATIVE


07/2010 - 06/2013 NATIONAL SECURITIES CORP REGISTEREDREPRESENTATIVE


06/2010 - 09/2010 CLEARWIRE SALES REP Y DES PLAINS, IL, UnitedStates

Other Business Activities

This section includes information, if any, as provided by the broker regarding other business activities the broker is currently engaged in either asa proprietor, partner, officer, director, employee, trustee, agent or otherwise. This section does not include non-investment related activity that isexclusively charitable, civic, religious or fraternal and is recognized as tax exempt.

MANAGING DIRECTOR/OWNER OF BULL RUN CAPITAL HOLDINGS LLC. A HOLDING COMPANY FOR AN AVENIR FINANCIAL BRANCHOFFICE. 90% TIME.






Disclosure Events

What you should know about reported disclosure events:

1. All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations,regulatory actions, employment terminations, bankruptcy filings, and criminal or civil judicial proceedings.

2. Certain thresholds must be met before an event is reported to CRD, for example: o A law enforcement agency must file formal charges before a broker is required to disclose a particular criminal event. o A customer dispute must involve allegations that a broker engaged in activity that violates certain rules or conduct governing the

industry and that the activity resulted in damages of at least $5,000. o

3. Disclosure events in BrokerCheck reports come from different sources: o As mentioned at the beginning of this report, information contained in BrokerCheck comes from brokers, brokerage firms and

regulators. When more than one of these sources reports information for the same disclosure event, all versions of the event willappear in the BrokerCheck report. The different versions will be separated by a solid line with the reporting source labeled.

o4. There are different statuses and dispositions for disclosure events:

o A disclosure event may have a status of pending, on appeal, or final.§ A "pending" event involves allegations that have not been proven or formally adjudicated.§ An event that is "on appeal" involves allegations that have been adjudicated but are currently being appealed.§ A "final" event has been concluded and its resolution is not subject to change.

o A final event generally has a disposition of adjudicated, settled or otherwise resolved.§ An "adjudicated" matter includes a disposition by (1) a court of law in a criminal or civil matter, or (2) an administrative

panel in an action brought by a regulator that is contested by the party charged with some alleged wrongdoing.§ A "settled" matter generally involves an agreement by the parties to resolve the matter. Please note that brokers and

brokerage firms may choose to settle customer disputes or regulatory matters for business or other reasons.§ A "resolved" matter usually involves no payment to the customer and no finding of wrongdoing on the part of the

individual broker. Such matters generally involve customer disputes.

For your convenience, below is a matrix of the number and status of disclosure events involving this broker. Further informationregarding these events can be found in the subsequent pages of this report. You also may wish to contact the broker to obtain furtherinformation regarding these events.

Final On AppealPending

Regulatory Event 0 2 0

Customer Dispute 0 3 N/A

Termination N/A 2 N/A

Judgment/Lien 1 N/A N/A






Disclosure Event Details

When evaluating this information, please keep in mind that a discloure event may be pending or involve allegations that are contested and havenot been resolved or proven. The matter may, in the end, be withdrawn, dismissed, resolved in favor of the broker, or concluded through anegotiated settlement for certain business reasons (e.g., to maintain customer relationships or to limit the litigation costs associated with disputingthe allegations) with no admission or finding of wrongdoing.

This report provides the information exactly as it was reported to CRD and therefore some of the specific data fields contained in the report maybe blank if the information was not provided to CRD.

Regulatory - Final

This type of disclosure event may involve (1) a final, formal proceeding initiated by a regulatory authority (e.g., a state securities agency, self-regulatory organization, federal regulatory such as the Securities and Exchange Commission, foreign financial regulatory body) for a violation ofinvestment-related rules or regulations; or (2) a revocation or suspension of a broker's authority to act as an attorney, accountant, or federalcontractor.

Disclosure 1 of 2

Reporting Source: Regulator

Regulatory Action InitiatedBy:

FINRA

Sanction(s) Sought: Suspension

Date Initiated: 10/23/2018

Docket/Case Number: 15-02744

Employing firm when activityoccurred which led to theregulatory action:

N/A

Product Type: No Product

Allegations: Respondent Rodriguez failed to comply with an arbitration award or settlementagreement or to satisfactorily respond to a FINRA request to provide informationconcerning the status of compliance.

Current Status: Final

Resolution: Letter

Does the order constitute afinal order based onviolations of any laws orregulations that prohibitfraudulent, manipulative, ordeceptive conduct?





https://www.finra.org/arbitration-mediation/arbitration-awards-online?search=15-02744


Resolution Date: 10/23/2018

Sanctions Ordered:


No

Suspension

If the regulator is the SEC,CFTC, or an SRO, did theaction result in a finding of awillful violation or failure tosupervise?

No

(1) willfully violated anyprovision of the SecuritiesAct of 1933, the SecuritiesExchange Act of 1934, theInvestment Advisers Act of1940, the InvestmentCompany Act of 1940, theCommodity Exchange Act, orany rule or regulation underany of such Acts, or any ofthe rules of the MunicipalSecurities Rulemaking Board,or to have been unable tocomply with any provision ofsuch Act, rule or regulation?

(2) willfully aided, abetted,counseled, commanded,induced, or procured theviolation by any person ofany provision of theSecurities Act of 1933, theSecurities Exchange Act of1934, the InvestmentAdvisers Act of 1940, theInvestment Company Act of1940, the CommodityExchange Act, or any rule orregulation under any of suchActs, or any of the rules ofthe Municipal SecuritiesRulemaking Board? or






Regulator Statement Pursuant to Article VI, Section 3 of FINRA By-Laws, and FINRA Rule 9554,Respondent Rodriguez is suspended on October 23, 2018 for failure to complywith an arbitration award or settlement agreement or to satisfactorily respond to aFINRA request to provide information concerning the status of compliance.


(3) failed reasonably tosupervise another personsubject to your supervision,with a view to preventing theviolation by such person ofany provision of theSecurities Act of 1933, theSecurities Exchange Act of1934, the InvestmentAdvisers Act of 1940, theInvestment Company Act of1940, the CommodityExchange Act, or any rule orregulation under any suchActs, or any of the rules ofthe Municipal SecuritiesRulemaking Board?

Capacities Affected: All capacities

Duration: Indefinite

Start Date: 10/23/2018

End Date:

Sanction 1 of 1

Sanction Type: Suspension






Regulator Statement Pursuant to Article VI, Section 3 of FINRA By-Laws, and FINRA Rule 9554,Respondent Rodriguez is suspended on October 23, 2018 for failure to complywith an arbitration award or settlement agreement or to satisfactorily respond to aFINRA request to provide information concerning the status of compliance.

Disclosure 2 of 2

i



FINRA

Sanction(s) Sought:


Docket/Case Number: 2015044960502


AVENIR FINANCIAL GROUP

Product Type: Promissory NoteOther: DEBENTURE AND EQUITY INTERESTS

Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, RODRIGUEZCONSENTED TO THE SANCTION AND TO THE ENTRY OF FINDINGS THAT HEDEFRAUDED INVESTORS BY KNOWINGLY MISREPRESENTING THE TRUEUSE OF INVESTOR PROCEEDS AND IMPROPERLY MISUSING THEINVESTORS' FUNDS FOR PERSONAL EXPENSES UNRELATED TO THEOPERATION OF HIS MEMBER FIRM'S BRANCH OFFICE AND BY THISMISCONDUCT, RODRIGUEZ WILLFULLY VIOLATED SECTION 10(B) OF THEEXCHANGE ACT OF 1934, RULE 10B-5 THEREUNDER. THE FINDINGSSTATED THAT RODRIGUEZ, REPEATEDLY SOLD SECURITIES, BY ANDTHROUGH THE SALE OF DEBENTURE AND EQUITY INTERESTS IN THEBRANCH OFFICE, TO SEVERAL INVESTORS WHO EACH PROVIDED THEBRANCH OFFICE WITH FUNDS IN EXCHANGE FOR EQUITY INTERESTS INTHE BRANCH OFFICE AND/OR THE PROMISE OF INTEREST AND CAPITALPAYMENTS FROM THE BRANCH OFFICE. SPECIFICALLY, PRIOR TO EACHCAPITAL RAISE FOR THE BRANCH OFFICE, IN THE PROMISSORY NOTESAND IN ORAL DISCLOSURES TO INVESTORS, RODRIGUEZ KNOWINGLYMISREPRESENTED HOW THE FUNDS WOULD BE USED. RODRIGUEZ'S USEOF EQUITY INVESTMENT AND LOAN PROCEEDS FOR HIS PERSONALNEEDS WAS A MATERIAL FACT TO INVESTORS. RODRIGUEZ CONTINUESTO HAVE ACCESS TO AND CONTROL OVER THE PROCEEDS FROM THEINVESTMENTS BY THE INVESTORS, WHICH REMAIN IN THE BRANCHOFFICE'S BANK ACCOUNT. RODRIGUEZ RAISED A TOTAL OF $173,800 FROMTHE INVESTORS IN EQUITY AND/OR PROMISSORY NOTE CAPITAL RAISES.OF THE TOTAL CAPITAL RAISED, RODRIGUEZ IMPROPERLY USED MORETHAN ONE-THIRD OF THE BRANCH OFFICE INVESTORS' PROCEEDS, ORAPPROXIMATELY $77,000.





https://www.finra.org/rules-guidance/oversight-enforcement/finra-disciplinary-actions?search=2015044960502


WITHOUT ADMITTING OR DENYING THE FINDINGS, RODRIGUEZCONSENTED TO THE SANCTION AND TO THE ENTRY OF FINDINGS THAT HEDEFRAUDED INVESTORS BY KNOWINGLY MISREPRESENTING THE TRUEUSE OF INVESTOR PROCEEDS AND IMPROPERLY MISUSING THEINVESTORS' FUNDS FOR PERSONAL EXPENSES UNRELATED TO THEOPERATION OF HIS MEMBER FIRM'S BRANCH OFFICE AND BY THISMISCONDUCT, RODRIGUEZ WILLFULLY VIOLATED SECTION 10(B) OF THEEXCHANGE ACT OF 1934, RULE 10B-5 THEREUNDER. THE FINDINGSSTATED THAT RODRIGUEZ, REPEATEDLY SOLD SECURITIES, BY ANDTHROUGH THE SALE OF DEBENTURE AND EQUITY INTERESTS IN THEBRANCH OFFICE, TO SEVERAL INVESTORS WHO EACH PROVIDED THEBRANCH OFFICE WITH FUNDS IN EXCHANGE FOR EQUITY INTERESTS INTHE BRANCH OFFICE AND/OR THE PROMISE OF INTEREST AND CAPITALPAYMENTS FROM THE BRANCH OFFICE. SPECIFICALLY, PRIOR TO EACHCAPITAL RAISE FOR THE BRANCH OFFICE, IN THE PROMISSORY NOTESAND IN ORAL DISCLOSURES TO INVESTORS, RODRIGUEZ KNOWINGLYMISREPRESENTED HOW THE FUNDS WOULD BE USED. RODRIGUEZ'S USEOF EQUITY INVESTMENT AND LOAN PROCEEDS FOR HIS PERSONALNEEDS WAS A MATERIAL FACT TO INVESTORS. RODRIGUEZ CONTINUESTO HAVE ACCESS TO AND CONTROL OVER THE PROCEEDS FROM THEINVESTMENTS BY THE INVESTORS, WHICH REMAIN IN THE BRANCHOFFICE'S BANK ACCOUNT. RODRIGUEZ RAISED A TOTAL OF $173,800 FROMTHE INVESTORS IN EQUITY AND/OR PROMISSORY NOTE CAPITAL RAISES.OF THE TOTAL CAPITAL RAISED, RODRIGUEZ IMPROPERLY USED MORETHAN ONE-THIRD OF THE BRANCH OFFICE INVESTORS' PROCEEDS, ORAPPROXIMATELY $77,000.


Resolution: Acceptance, Waiver & Consent(AWC)


Sanctions Ordered:


Yes

Bar (Permanent)Other: RESPONDENT UNDERSTANDS THAT THIS SETTLEMENT INCLUDES AFINDING THAT HE WILLFULLY VIOLATED SECTION 10(B) OF THE EXCHANGEACT OF 1934, RULE 10B-5 THEREUNDER, AND FINRA RULES 2020 AND 2010AND THAT UNDER ARTICLE ILL, SECTION 4 OF FINRA'S BY-LAWS, THISMAKES HIM SUBJECT TO A STATUTORY DISQUALIFICATION WITH RESPECTTO ASSOCIATION WITH A MEMBER.

If the regulator is the SEC,CFTC, or an SRO, did theaction result in a finding of awillful violation or failure tosupervise?

Yes

Yes






(1) willfully violated anyprovision of the SecuritiesAct of 1933, the SecuritiesExchange Act of 1934, theInvestment Advisers Act of1940, the InvestmentCompany Act of 1940, theCommodity Exchange Act, orany rule or regulation underany of such Acts, or any ofthe rules of the MunicipalSecurities Rulemaking Board,or to have been unable tocomply with any provision ofsuch Act, rule or regulation?

Yes


No

No






Regulator Statement DISCIPLINARY PROCEEDING NUMBER 2015044960501 - TEMPORARYCEASE AND DESIST CONSENT ORDER: AMENDED MAY 6, 2015: - THISORDER WAS AMENDED AND IT IS NOT PERTAINING TO RESPONDENTRODRIGUEZ WHO WAS BARRED APRIL 27, 2015.

(3) failed reasonably tosupervise another personsubject to your supervision,with a view to preventing theviolation by such person ofany provision of theSecurities Act of 1933, theSecurities Exchange Act of1934, the InvestmentAdvisers Act of 1940, theInvestment Company Act of1940, the CommodityExchange Act, or any rule orregulation under any suchActs, or any of the rules ofthe Municipal SecuritiesRulemaking Board?

No

Capacities Affected: All Capacities

Duration:


End Date:

Sanction 1 of 1

Sanction Type: Bar (Permanent)

iReporting Source: Broker


FINRA

Sanction(s) Sought:


Docket/Case Number: 2015044960502

Employing firm when activityoccurred which led to theregulatory action: 14�2020 FINRA. All rights reserved. Report about CESAR O. RODRIGUEZ.




https://www.finra.org/rules-guidance/oversight-enforcement/finra-disciplinary-actions?search=2015044960502



AVENIR FINANCIAL GROUP, INC




Resolution: Acceptance, Waiver & Consent(AWC)


Sanctions Ordered:


Yes






Sanctions Ordered: Bar (Permanent)Other: RESPONDENT UNDERSTANDS THAT THIS SETTLEMENT INCLUDES AFINDING THAT HE WILLFULLY VIOLATED SECTION 10(B) OF THE EXCHANGEACT OF 1934, RULE 10B-5 THEREUNDER, AND FINRA RULES 2020 AND 2010AND THAT UNDER ARTICLE ILL, SECTION 4 OF FINRA'S BY-LAWS, THISMAKES HIM SUBJECT TO A STATUTORY DISQUALIFICATION WITH RESPECTTO ASSOCIATION WITH A MEMBER.

Capacities Affected: ALL CAPACITITES

Duration:


End Date:

Sanction 1 of 1

Sanction Type: Bar (Permanent)






Customer Dispute - Award / Judgment

This type of disclosure event involves a final, consumer-initiated, investment-related arbitration or civil suit containing allegations of sales practiceviolations against the broker that resulted in an arbitration award or civil judgment for the customer.

Disclosure 1 of 1


Employing firm whenactivities occurred which ledto the complaint:

Allegations:

Avenir Financial Group,

Respondent was named in customer's complaint that asserted the followingcauses of action:unauthorized trading, breach of fiduciary duty, churning, manipulation,misrepresentation, suitability, failure to supervise, negligence, indemnification,theft, recovery of commissions, swindle, and forgery. The causes of action relatedto Claimant's allegations that Respondents purchased shares in his account andtraded on margin without his permission. Claimant further alleged thatRespondents falsified account documents to allow for trading other than the singlepurchase of Fibrocell Science stock, which he had authorized.

Product Type: Equity Listed (Common & Preferred Stock)

Alleged Damages: $148,876.71

Arbitration/Reparation Claimfiled with and Docket/CaseNo.:

FINRA - CASE #15-02744

Date Notice/Process Served: 10/08/2015

Arbitration Pending? No

Disposition: Award

Disposition Date: 03/22/2017

Disposition Detail: Respondent Rodriguez is jointly and severally liable for and shall pay to Claimantthe sum of $133,989.04, plus interest, in compensatory damages, the sum of$22,500.00, plus interest, in punitive damages, the sum of $270.00 in costs asreimbursement of the non-refundable portion of Claimant's filing fee, and the sumof $59,400.00, plus interest, in attorneys' fees.

Regulator Statement This award has not been paid by or on behalf of Cesar Rodriguez as of October23, 2018.

Arbitration Information

iReporting Source:





https://www.finra.org/arbitration-mediation/arbitration-awards-online?search=15-02744


Reporting Source: Firm


Allegations:

Avenir

Unauthorized Trading and did not receive any confirms and statements.

Product Type: Equity-OTC


Date Complaint Received: 01/07/2016

Complaint Pending? Yes

Settlement Amount:

Individual ContributionAmount:

Firm Statement Cesar Rodrigues took over and traded the account after Mr. Belyeav was no longerassociated with the firm.

Customer Complaint Information

Alleged Damages AmountExplanation (if amount notexact):

Client did not specify damages and some transactions per customer wereauthorized in account.

Is this an oral complaint? No

Is this a written complaint? No

Is this an arbitration/CFTCreparation or civil litigation?

Yes

Arbitration/Reparation forumor court name and location:

FINRA Arbitration New York

Docket/Case #: 15-02744

Filing date ofarbitration/CFTC reparationor civil litigation:

12/16/2015






Customer Dispute - Closed-No Action / Withdrawn / Dismissed / Denied

This type of disclosure event involves (1) a consumer-initiated, investment-related arbitration or civil suit containing allegations of sales practiceviolations against the individual broker that was dismissed, withdrawn, or denied; or (2) a consumer-initiated, investment-related written complaintcontaining allegations that the broker engaged in sales practice violations resulting in compensatory damages of at least $5,000, forgery, theft, ormisappropriation, or conversion of funds or securities, which was closed without action, withdrawn, or denied.

Disclosure 1 of 2



Allegations:

AVENIR FINANCIAL GROUP

CUSTOMER ALLEGES UNAUTHORIZED TRADES SINCE INCEPTIONNOVEMBER 2014 THROUGH MAY 2015




Complaint Pending? No

Status:

Status Date: 06/02/2015

Settlement Amount:



Denied


Is this a written complaint? Yes


No

Disclosure 2 of 2

i



Allegations:

NATIONAL SECURITIES CORPORATION, INC.






Allegations: UNAUTHORIZED TRADING. NEGLIGENCE.


Alleged Damages: $0.00



Status:


Settlement Amount:


Firm Statement DUE TO AN ADMINISTRATIVE ERROR,THIS FILING HAS BEEN AMENDED TOREFLECT THAT THE COMPLAINT WAS A WRITTEN COMPLAINT AND NOT AVERBAL AS PREVIOUSLY REPORTED.


Closed/No Action


FIRM IS UNABLE TO MAKE A GOOD FAITH DETERMINATION THAT THEDAMAGES FROM THE ALLEGED CONDUCT WOULD BE LESS THAN $5,000




No



Allegations:

NATIONAL SECURITIES CORPORATION INC

UNAUTHORIZED TRADING NEGLIGENCE


Alleged Damages: $0.00









Status:


Settlement Amount:


Disposition: No Action

Disposition Date: 04/09/2012

Broker Statement COMPLAINT WAS CLOSED NO ACTION, ANY TRADES I DID AT NAVISISWERE SIGNED OFF AND APPROVED BY SUPERVISOR BEFORE THEY WEREENTERED. THIS ALLEGATION IS WITHOUT MERIT AND HENCE IT WASDISMISSED.


Arbitration Information

Closed/No Action


GOOD FAITH DETERMINATION UNDER $5,000




No






Employment Separation After Allegations

This type of disclosure event involves a situation where the broker voluntarily resigned, was discharged, or was permitted to resign after beingaccused of (1) violating investment-related statutes, regulations, rules or industry standards of conduct; (2) fraud or the wrongful taking ofproperty; or (3) failure to supervise in connection with investment-related statutes, regulations, rules, or industry standards of conduct.

Disclosure 1 of 2


Employer Name: AVENIR FINANCIAL GROUP

Termination Type: Discharged

Termination Date: 04/27/2015



Firm Statement SETTLED DUE TO PERSONAL FINANCIAL CONDITION. I DID NOT TAKE BULLRUN'S ASSETS AND USE THEM FOR PERSONAL USE.






Disclosure 2 of 2

i


Employer Name: CHARLES MORGAN SECURITIES INC.



Allegations: FIRM ALLEGES VIOLATING RULES OF THE INDUSTRY STANDARDS OFCONDUCT.

Product Type: No Product

Other Product Types:

Firm Statement ON NOVEMBER 10, 2008, CHARLES MORGAN SECURITIES("CMS")RECEIVED AN E-MAIL FROM THE MOTHER OF A PROSPECTIVEEMPLOYEE STATING THAT AN EMPLOYEE (CESAR RODRIGUEZ) OFCHARLES MORGAN DEMANDED PAYMENT OF $200 IN CASH FOR SERIES 7TRAINING. MR. RODRIGUEZ MET WITH THE PROSPECTIVE EMPLOYEEEARLIER IN THE DAY AT OUR OFFICES AT 120 WALL STREET AND LATERWITH HIM AT ANOTHER FIRM LOCATED AT 45 BROADWAY. MR. RODRIGUEZTHEN WALKED OVER TO AN ATM MACHINE WITH THE PROSPECTIVEEMPLOYEE. THE PROSPECTIVE EMPLOYEE WITHDREW $20 AND GAVE ITTO MR. RODRIGUEZ. MR. RODRIGUEZ HAD NO AUTHORITY FROM CMS TOCONDUCT HIMSELF IN THIS MANNER. THIS IS NOT THE PROTOCOL OFCHARLES MORGAN SECURITIES AND IS A VIOLATION OF THE RULES ANDTHE INDUSTRY STANDARD OF CONDUCT. HE MISREPRESENTED HIMSELFAS A HIRING PERSON FOR CMS AND HAS WRONGFULLY TAKEN THEPROPERTY OF THE PROSPECTIVE EMPLOYEE. MR. RODRIGUEZ WASQUESTIONED THE SAME DAY ABOUT THIS ACTIVITY BY A MANAGER OFCMS. MR. RODRIGUEZ VERIFIED HIS ACTIONS PRIOR TO HIS IMMEDIATETERMINATION.


Employer Name: CHARLES MORGAN SECURITIES



Allegations: THE FIRM ALLEGES VIOLATING INDUSTRY RULES OF CONDUCT.

Product Type: Other

Other Product Types:23�2020 FINRA. All rights reserved. Report about CESAR O. RODRIGUEZ.





Other Product Types:

Broker Statement INITIALLY, IT IS NOTED THAT I VOLUNTARILY RESIGNED FROM CHARLESMORGAN, I WAS NOT DISCHARGED AND THE FIRM ONLY MADE THISALLEGATION AFTER, I HAD RESIGNED. THE PROSPECTIVE EMPLOYEEPROVIDED ME WITH $20 IN ORDER TO REGISTER IN A SERIES 7 TRAININGPROGRAM, I WAS GIVEN AUTHORITY BY CHARLES MORGAN SECURITIESAND THE FIRM'S MANAGING DIRECTOR [THIRD PARTY], TO REGISTER THISPARTICULAR INDIVIDUAL IN A SERIES 7 TRAINING CLASS. ONCE THEINDIVIDUAL COMPLETED THE TRAINING CLASS AND PASSED THE SERIES 7EXAMINATION HE THEN WOULD HAVE BEEN HIRED AS A REGISTEREDREPRESENTATIVE WITH CHARLES MORGAN SECURITIES, HOWEVER THISINDIVIDUAL SUBSEQUENTLY DECIDED NOT TO ATTEND THE TRAININGCLASS AND WAS NOTIFIED BY ME TO PICK UP HIS $20 RETAINER.






Judgment / Lien

This type of disclosure event involves an unsatisfied and outstanding judgments or liens against the broker.

Disclosure 1 of 1

Reporting Source: Broker

Judgment/Lien Amount: $2,115.96

Judgment/Lien Holder: SOUND SHORE MEDICAL CENTER OF WESTCHESTER

Judgment/Lien Type: Civil

Date Filed: 02/03/2010

Judgment/Lien Outstanding? Yes

Type of Court: CITY

Name of Court: COUNTY OF WESTCHESTER, NEW ROCHELLE CITY COURT

Location of Court: NEW ROCHELLE, WESTCHESTER

Docket/Case #: INDEX# CV-2009-1691 / DOCKET# T00102710






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cesar omar rodriguezcesar o. rodriguez crd# 4451732 this broker is not currently registered. report...

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