June 14, 2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD No. 7691) is a long-term member of FINRA for more than 80 years, and recently resolved a FINRA investigation involving its failure to supervise mutual fund transactions between 2015 and 2021. The FINRA sanction imposes a censure and directs Merrill Lynch to pay $13.4M in restitution plus […]
March 29, 2021
Ricardo Armijo (CRD#: 2694904) is a dually registered Investment Advisor and Broker at Raymond James & Associates, Inc., in Birmingham, MI. He entered the securities industry in 1996 and previously worked for UBS Financial Services, Inc., and Citigroup Global Markets, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in […]
February 13, 2021
Michael Nigro (CRD#: 2097646) is a Financial Advisor at MML Investors Services, LLC in New York, NY. He entered the securities industry in 1990 and previously worked for The Dreyfus Service Corporation. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in December 2020, FINRA is considering a pending complaint. The […]
January 17, 2021
Angel Bardeche (CRD#: 4698117) is a former broker and investment adviser who was employed by Ameriprise Financial Services, Inc. from 2012-2019. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA) on January 6, 2021, Angel Bardeche received a civil penalty of $10,000, disgorgement of $5,000, and a 9-month Suspension beginning January […]
February 9, 2019
The Wolper Law Firm, P.A. is currently investigating claims against Ben Dembla, a former Financial Advisor at Merrill Lynch in Chicago, Ill. Ben Dembla has been in the securities industry since 2001. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on February 5, 2019, FINRA sanctioned Ben Dembla, barring him […]
February 3, 2019
The Wolper Law Firm, P.A. is currently investigating claims against Thomas Olexa, a Financial Advisor at Valmark Securities in Shaumburg, Illinois. Thomas Olexa has been in the securities industry since 1987 and previously worked for Woodbury Financial Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on August 20, 2018, […]
October 28, 2018
The Wolper Law Firm, P.A. is currently investigating claims against David Colflesh, a Financial Advisor at New York Life Securities in Tarkio, Montana. David Colflesh has been in the securities industry since the 1980s and worked with NY Life for the entirety of his career. According to publicly available records released by the Financial Industry […]
October 6, 2018
The Wolper Law Firm, P.A. is currently investigating claims against Geoffrey Turner, a Financial Advisor at BB&T Securities in Rincon, Georgia. Geoffrey Turner has been in the securities industry since the 1990s. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on September 28, 2018, FINRA sanctioned Geoffrey Turner for the […]