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FINRA Sanctions Ameriprise Stockbroker For Sale of Unsuitable Investments

January 19, 2021 | Posted by : Guiliano Law Group | FINRA Securities Arbitration, Investment and Regulatory News, Mutual Fund Fraud, Unsuitable Investment Recommendations | Comments Off

Angel Wynette Bardeche (also known as Angel Wynette Lentz) of Cincinnati Ohio a stockbroker formerly registered with Ameriprise Financial Services has been fined $10,000.00 and suspended for nine months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Bardeche made unsuitable recommendations to customers concerning a short-term […]

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FINRA Sanctions Ameriprise Stockbroker For Sale of Unsuitable Investments

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