Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Ramos (Ramos), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ramos recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,300,000.00 on October 02, 2023.
Claimant alleges breach of fiduciary duty, unsuitable investments, unauthorized transactions, failure to act in the “best interest” of the Claimant, excessive commissions, misrepresentations and omissions, negligence, and violation of state and federal securities laws.