The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding California-based Roth Capital broker Otilia Del Carmen Chen Rodriguez.
Otilia Del Carmen Chen Rodriguez has spent nine years in the securities industry and has been registered with Roth Capital Partners in Newport Beach, California since 2013. Ms. Rodriguez was previously registered with C.K. Cooper & Company in Irvine, California.
According to her BrokerCheck report, Otilia Del Carmen Chen Rodriguez is the subject of one customer complaint and one financial disclosure.
In 2013 Otilia Del Carmen Chen Rodriguez filed for Chapter 7 bankruptcy in the United States Bankruptcy Court for the Central District of California. The disposition was discharged in 2014.
In 2011 a customer alleged Otilia Del Carmen Chen Rodriguez, while employed at C.K. Cooper & Company, misrepresented material facts related to an investment and breached her fiduciary duty. The complaint resulted in an award to the customer of $821,000.
FINRA rules and federal securities law stipulate that brokers like Otilia Del Carmen Chen Rodriguez Jones have a fiduciary duty to act in the best interests of their clients. This includes a duty to recommend only investments that are suitable for their clients. Brokers are not permitted to misrepresent or omit material facts in such a fashion that might cause the client to make an unsuitable investment. Brokerage firms like C.K. Cooper & Company have a supervisory duty to ensure that their brokers comply with these regulations. Brokers and firms who engage in misrepresentation and/or unsuitability may be subject to disciplinary action.
If you have lost money investing with Otilia Del Carmen Chen Rodriguez, you may be entitled to recover your losses. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on contingency: we only get paid if and when you recover money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.