Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Jose "Tomas" Giraldo [CRD#: 5429476, Chula Vista, California]. Notably, FINRA barred the securities broker, who worked for Merrill Lynch from October 15, 2013 to April 6, 2018. Previously, Merrill Lynch disaffiliated with him for possibly misappropriating funds from clients. In sum, these disclosures suggest that Giraldo is hiding something from the financial industry watchdog and that he could have harmed clients by misusing their funds.
Notably, Merrill Lynch ended its employment relationship with Giraldo on March 30, 2018. Allegedly, Giraldo’s conduct involved “misappropriation” of client account funds, according to Merrill Lynch. It appears that Giraldo could have stolen or misused money belonging to one or more of his clients. Not only that, but Merrill Lynch contended that the securities broker presented false account documents to his clients.
Evidently, FINRA issued Tomas Giraldo a Letter in Case #: 2018058059202 barring him for not cooperating. The financial industry watchdog prohibited him from maintaining any association with FINRA members effective July 22, 2019. Allegedly, Giraldo failed to respond to a “request for information.” This was his second time failing to provide information to FINRA. In the first instance (Case #: 2018058059201), FINRA suspended him on May 23, 2018. However, FINRA vacated that bar on October 19, 2018.
Have you experienced losses by investing with Tomas Giraldo? If so, reach out to Soreide Law Group at (888) 760-6552 and speak with experienced counsel in regard to possibly recovering your investment losses. Soreide Law Group represents clients on a contingency fee basis and will advance all costs. The law firm has recovered millions of dollars for clients who have incurred losses due to misconduct of securities firms and brokers like Giraldo.
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