Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harold Ramsey (Ramsey), previously associated with Paulson Investment Company LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Ramsey recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on May 23, 2022.
Respondent Ramsey failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.