DID RICHARD RAMOS CAUSE YOU INVESTMENT LOSSES?
Richard Ramos Of LPL Financial And Formerly With Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct
Who is Richard Ramos of LPL Financial?
Richard Ramos (CRD #5524250) who is currently registered with LPL Financial and located in Delano, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, Richard Ramos was associated with Merrill Lynch Pierce Fenner & Smith and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Richard Ramos Customer Complaint
Richard Ramos has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were unsuitable investment recommendations, poor recommendation and advice. Richard Ramos’ customer complaint was denied and, to date, the customer has not taken any further action.
Richard Ramos Red Flags & Your Rights As An Investor
Of course, Richard Ramos did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Richard Ramos at LPL Financial and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Richard Ramos has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and Merrill Lynch Pierce Fenner & Smith also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
File A Claim To Recover Your Investment Losses At LPL Financial Due To Richard Ramos
If you have questions about LPL Financial, Merrill Lynch Pierce Fenner & Smith, and/or Richard Ramos and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.