One or more investors apparently complained about securities broker Angela Mullis Bender (also known as Angela Ruth Mullis) [CRD: 5208180, Leesburg, Virginia], according to publicly available information on FINRA BrokerCheck. Evidently, Angela Bender has worked for Osaic Wealth Inc. since August 23, 2024, and for AMJ Financial Wealth Management LLC since June 1, 2012. She was previously registered with Triad Advisors LLC from February 14, 2014, until August 23, 2024. Keep reading to learn more about the disclosures involving this broker.
Particularly, on February 12, 2025, an AMJ Financial Wealth Management LLC client filed AAA Arbitration No. 1-24-0007-0746 about Angela Bender. The client alleged that Bender made unsuitable recommendations given the client’s needs/wishes. Because of this, the client allegedly sustained damages on stocks and mutual funds. Therefore, the client requested $150,000 in compensation from AMJ Financial Wealth Management LLC or Bender. Evidently, this arbitration is pending a resolution.
Allegations of unsuitable recommendations typically involve claims that a securities broker or financial advisor suggested investments that did not align with the investor’s financial situation, goals, or risk tolerance. In the case of mutual funds, this might include recommending high-fee or underperforming funds to conservative investors, or suggesting sector-specific mutual funds without appropriate diversification. FINRA requires that brokers have a reasonable basis for recommending an investment, and if they fail to assess whether a mutual fund is suitable for a particular investor, this can lead to significant financial harm.
Did you experience losses because of Angela Bender? Feel free to contact Soreide Law Group online or at (888) 760-6552. Speak with a securities lawyer about a possible recovery of your investment losses. Soreide Law Group is experienced with recovering losses for clients located throughout the country, represents clients through a contingency fee basis, and advances all costs. Bender and any registered investment advisors / securities broker dealers Bender worked for deny accusations of sales practice violations.
Investors might have sustained financial harm through WestPark Capital Inc. [CRD: 39914, Los Angeles, California], according to publicly available information found on Financial Industry Regulatory Authority BrokerCheck. WestPark Capital has been registered with FINRA since 1996 and maintains its headquarters in Los Angeles, California. Keep reading to discover more about the regulatory action involving the […]
Investors might have sustained losses due to securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], and Financial Industry Regulatory Authority barred him, based on public information on BrokerCheck. Tighe was associated with Morgan Stanley from June 1, 2009, through January 14, 2025. Continue reading to find out more about Tighe’s regulatory and client dispute […]
Investors potentially experienced sales practice violations by securities broker Sung Moo Cho (also known as Sam Cho) [CRD: 5015906, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Cho was associated with Ameriprise Financial Services from January 22, 2021, to October 21, 2025, and Citigroup Global Markets from […]
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