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Articles Posted in NASD

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Finra Fines and Supends Ex-Ameriprise Broker Angel W. Bardeche

Miller Stern Lawyers – 410-Law-Firm is currently investigating clients of  Ex Ameriprise Broker Angel Bardeche CRD4698117 and all firms and broker dealers who may be victims of, and suffered damages and losses, due to abuses such as flipping “A” Shares, mutual fund abuses, unsuitable mutual fund investments and failure to…

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The Second Largest FINRA Settlement in last decade – Merrill Lynch to pay $26 million, in part to former NH Governor Craig Benson, to settle churning allegations by Charles Kenahan

 Miller Stern Lawyers – 410-Law-Firm is currently investigating clients of Merrill Lynch and Charles Kenahan and Dermond Cavanaugh who are may be victims of, and suffered damages and losses, due to abuses such as churning, beach of fiduciary duty, overcharging , and unauthorized trading. According to CNBC and other new…