SECURITIES EXCHANGE ACT OF 1934
Release No. 41485 / June 7, 1999
File No. 3-9080
|In the Matter of
RAUL N. RODRIGUEZ
|ORDER REINSTATING ATTORNEY
UNDER RULE 102(e)(5) OF
THE COMMISSION'S RULES OF PRACTICE
On September 16, 1996, the Commission, pursuant to Rule 102(e)(3) of the Commission's Rules of Practice, suspended attorney Raul N. Rodriguez from appearing or practicing before the Commission, with the right to apply for reinstatement after two years. See Opinion and Order, Release No. 37682 (Sept. 16, 1996). The basis for the suspension was an action by the Commission in which the United States District Court for the Southern District of New York found that Rodriguez knowingly or recklessly drafted, reviewed, or signed materially false and misleading documents filed with the Commission.
The Opinion and Order provided that for reinstatement, Rodriguez would have to submit an affidavit truthfully stating under penalty of perjury that (1) he had complied with the Opinion and Order, (2) that he is not subject to any suspension or disbarment as an attorney by a court of the United States or any state, territory, district, commonwealth or possession, and (3) that he has not been convicted of a felony or of a misdemeanor involving moral turpitude.
On December 17, 1998, over two years after he had been suspended by the Commission, Rodriguez applied for reinstatement to appear or practice before the Commission. His application included an affidavit in which he swore under penalty of perjury that he had complied with Commission's Opinion and Order, that he was not subject to suspension or disbarment by any court, and that he had not been convicted of a felony or of a misdemeanor involving moral turpitude.
Based on the foregoing, the Commission has determined that it is appropriate to reinstate Rodriguez, pursuant to Rule 102(e)(5), to appear or practice before the Commission.
Accordingly, it is HEREBY ORDERED that Rodriguez is reinstated to practice before the Commission.
By the Commission.
Jonathan G. Katz