Stoltmann Law Offices is investigating Richard Marvin Muhlberg, a former registered representative with Sigma Financial Corporation, who recently entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA). Muhlberg is accused of borrowing $11,500 from a firm customer. This is against securities rules and regulations. For this, he was fined $10,000 and suspended from associating with any FINRA member firm in any and all capacities for three months.
Muhlberg was registered with Thomas James Associates in Rochester, New York from June 1992 until December 1992, Bryn Mawr Investment Group in Rosemont, Pennsylvania from November 1992 until September 1997 and Sigma Financial Corp in Cherry Hill, New Jersey from September 1997 until June 2015. He is not currently licensed within the industry. If you invested money with Richard Marvin Muhlberg, you may be able to sue his former firm, Sigma Financial, for investment losses. They had a duty to properly supervise him while he was registered with them. Please call our securities law firm in Chicago to speak with an attorney about your options. The call is free.
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