NOTE: Stipulations of Fact and Consent to Penalty (SFC); Offers of Settlement (OS); and Letters of Acceptance Waiver, and Consent (AWC) are entered into by Respondents without admitting or denying the allegations, but consent is given to the described sanctions & to the entry of findings. Additionally, for AWCs, if FINRA has reason to believe a violation has occurred and the member or associated person does not dispute the violation, FINRA may prepare and request that the member or associated person execute a letter accepting a finding of violation, consenting to the imposition of sanctions, and agreeing to waive such member's or associated person's right to a hearing before a hearing panel, and any right of appeal to the National Adjudicatory Council, the SEC, and the courts, or to otherwise challenge the validity of the letter, if the letter is accepted. The letter shall describe the act or practice engaged in or omitted, the rule, regulation, or statutory provision violated, and the sanction or sanctions to be imposed.

Gail Marie Rodriguez
AWC/2008014103401

On three separate occasions, Rodriguez deposited $6.00 to an account she maintained at her bank through a bank automatic teller machine (ATM) but intentionally entered $600 into the ATM as the deposit amount. Immediately after each deposit, Rodriguez caused roughly $500 to be transferred directly from the account to which she made the deposits to a separate account she maintained at her bank to pay personal expenses. The funds transferred to the second account temporarily enabled Rodriguez to have sufficient funds in that account to satisfy all payments and withdrawals made against it. 

Gail Marie Rodriguez: Fined $5,000;Suspended 4 months in all capacities