Jose Giraldo also known as Tomas Giraldo a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by accusations that he failed to supply FINRA with information that FINRA requested from him. Case No. 2018058059201 (Aug. 27, 2018).
FINRA Public Disclosure indicates that FINRA sought information from Giraldo in early 2018. After Giraldo dodged FINRA’s requests, FINRA issued Giraldo a Notice of Suspension dated May 23, 2018 and Suspension from Association letter dated August 21, 2018.
FINRA warned Giraldo that if he continued to ignore FINRA’s requests, FINRA would bar him in all capacities. Giraldo was provided three months from the Notice of Suspension date to comply; however, Giraldo failed to do so. Consequently, FINRA barred Giraldo from the securities industry on October 19, 2018.
On March 30, 2018, Merrill Lynch Pierce Fenner Smith Inc. discharged Giraldo founded on allegations that he falsified a Merrill Lynch customer’s account documentation and misappropriated funds belonging to the customer.
