Jose Giraldo (also known as Tomas Giraldo) of Chula Vista California 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 based upon accusations that Giraldo neglected to cooperate with FINRA’s request for his information following the point in…
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)….