The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Jose Giraldo. Jose Giraldo was a California based securities broker. He worked in the securities industry for four years. During his career, he was registered with just two different securities firms. He is not currently working as a registered securities broker in any fashion.

His Registrations

  • David Lerner Associates (2012)
  • Merrill Lynch (2013-2018)

The Allegations

Jose Giraldo’s publicly available FINRA BrokerCheck report shows that he was terminated from his position at Merrill Lynch in March 2018. This followed allegations that misappropriated funds from a customer account and falsified customer account documents.

Oakes & Fosher Can Help

Many investors are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may actually be entitled to damages.

Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Jose Giraldo, please contact Oakes & Fosher for a free and private consultation.