Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that New York-based Stifel Nicolaus & Company broker/adviser Kenneth Ramos, who has received a customer dispute, recently resigned from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ramos (CRD# 2553426).
Kenneth Ramos has spent 20 years in the securities industry and has been registered with Stifel Nicolaus & Company in New York, New York since November 2017. Previous registrations include Morgan Stanley in New York, New York (2009-2017); Morgan Stanley & Company in New York, New York (2008-2009); Bear Stearns & Company in New York, New York (2002-2008); RBC Dain Rauscher in New York, New York (2002); and Tucker Anthony Incorporated in Boston, Massachusetts (1997-2002). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 3, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 18, 1997; Series 3 (National Commodity Futures Examination), which he obtained on May 24, 2003; and Series 7 (General Securities Representative Examination), which he obtained on June 10, 1997. He is a registered broker and investment adviser with 23 US states and territories: Arizona, California, Colorado, Connecticut, the District of Columbia, Florida, Georgia, Hawaii, Illinois, Indiana, Kansas, Maryland, Massachusetts, Michigan, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, Texas, the Virgin Islands, and Wisconsin. He is registered with six self-regulatory organizations (SROs): Bats BZX Exchange Inc., FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to his BrokerCheck report, Kenneth Ramos has received one customer complaint and resigned from a former employer in connection to alleged rule violations.
In November 2017 he submitted his voluntary resignation from Morgan Stanley Wealth Management in connection to allegations he executed “some transactions” in non-discretionary accounts without prior consultation with the clients in all cases.
In 2002 a customer alleged Kenneth Ramos, while employed at RBC Dain Rauscher, employed improper sales practices. The complaint settled for $8,000.
If you have complaints regarding Kenneth Ramos, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.