{"id":19467,"date":"2021-01-29T09:55:07","date_gmt":"2021-01-29T15:55:07","guid":{"rendered":"https:\/\/www.investorlawyers.com\/blog\/?p=19467"},"modified":"2021-01-29T09:55:07","modified_gmt":"2021-01-29T15:55:07","slug":"angel-bardeche-unsuitable-mutual-fund-switches","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/angel-bardeche-unsuitable-mutual-fund-switches\/","title":{"rendered":"Ex-Ameriprise Broker Angel Bardeche Accused of Earning $450K From Allegedly Unsuitable Mutual Fund Switches"},"content":{"rendered":"<h2><span style=\"font-weight: 400;\">FINRA Suspends Cincinnati, Ohio Financial Advisor\u00a0\u00a0<\/span><\/h2>\n<p><span style=\"font-weight: 400;\">The Financial Industry Regulatory Authority (FINRA) has suspended former Ameriprise (AMP) stockbroker, Angel W. Bardeche, for nine months over allegations that she engaged in unsuitable mutual fund switches over a two-year period that earned her $450K in commissions.\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">The self-regulatory organization (SRO) also contends that the ex-Ameriprise Financial broker made 109 trades in eight non-discretionary customer accounts without authorization. Bardeche will pay a $10K fine and $5K in disgorgement.<\/span><\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.investorlawyers.com\/blog\/angel-bardeche-unsuitable-mutual-fund-switches\/\"  title=\"Continue Reading Ex-Ameriprise Broker Angel Bardeche Accused of Earning $450K From Allegedly Unsuitable Mutual Fund Switches\" class=\"more-link\">Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>FINRA Suspends Cincinnati, Ohio Financial Advisor\u00a0\u00a0 The Financial Industry Regulatory Authority (FINRA) has suspended former Ameriprise (AMP) stockbroker, Angel W. Bardeche, for nine months over allegations that she engaged in unsuitable mutual fund switches over a two-year period that earned her $450K in commissions.\u00a0 The self-regulatory organization (SRO) also contends that the ex-Ameriprise Financial broker [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":19468,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3799,3741],"tags":[3095,4503,3010],"class_list":["post-19467","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-mutual-funds","category-securities-fraud","tag-ameriprise-financial","tag-angel-bardeche","tag-mutual-funds"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Broker Angel Bardeche Unsuitably Sold Mutual Fund Switches | Investor Lawyers<\/title>\n<meta name=\"description\" content=\"Ex-Ameriprise Financial broker, Angel Bardeche, allegedly earned over $450k from selling unsuitably mutual fund switches. Learn more.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/angel-bardeche-unsuitable-mutual-fund-switches\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Broker Angel Bardeche Unsuitably Sold Mutual Fund Switches | Investor Lawyers\" \/>\n<meta name=\"twitter:description\" content=\"Ex-Ameriprise Financial broker, Angel Bardeche, allegedly earned over $450k from selling unsuitably mutual fund switches. 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