Investors apparently complained about securities broker Kenneth Carl Ramos [CRD: 2553426, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kenneth Ramos worked for Stifel Nicolaus Company Incorporated beginning November 2, 2017. Investors are encouraged to continue reading to discover more about the securities broker’s disclosures.
Specifically, on September 27, 2023, a Stifel Nicolaus Company Incorporated client filed FINRA Arbitration No. 23-02648 about Kenneth Ramos. Mainly, the client alleged that Ramos made misrepresentations, breached his fiduciary duty, engaged in unauthorized trading, recommended unsuitable investments, charged excessive commissions, and violated state and federal securities laws. Because of this, the client allegedly incurred damages relating to structured notes and unit investment trusts. As a result, the client requested $1,300,000 in compensation from Stifel Nicolaus Company Incorporated or Ramos. BrokerCheck shows that this arbitration is ongoing.
Notably, Morgan Stanley Wealth Management disaffiliated with Ramos on November 2, 2017. Allegedly, Ramos executed certain transactions in non-discretionary client accounts without speaking with clients beforehand in all cases.
Did you suffer any investment-related losses because of Kenneth Ramos? Get in touch with Soreide Law Group at (888) 760-6552 or online and consult with a securities attorney concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for hundreds of clients throughout the US. Also, the firm works on a contingency fee arrangement and advances all costs. Ramos and brokerage firms Ramos worked for deny any allegations of sales practice violations.
Investors apparently complained about securities broker Matthew Robert Westberry (also known as Matt Westberry) [CRD: 4908745, Marion, Iowa], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Westberry worked for SCF Securities Inc. from February 28, 2022, to October 23, 2024, and previously worked for LPL Financial LLC from August 10, 2018, to […]
Investors may have suffered financial harm by securities broker Joseph Anthony Monaco Jr. [CRD: 1398158, Melville, New York], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Monaco worked for Oppenheimer Co. Inc. from June 7, 2023, to December 6, 2024, and previously worked for Stifel Nicolaus from June 25, 2014, to […]
Investors potentially experienced sales practice violations by securities broker Scott Thomas Schaul [CRD: 2200484, Attleboro, Massachusetts], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Schaul worked for Essex Securities LLC from March 22, 2010, to August 6, 2019, Pinnacle Investments LLC from June 28, 2019, to April 13, 2026, and has […]
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