National investment fraud lawyers KlaymanToskes is investigating Kenneth Carl Ramos (CRD# 2553426) of Stifel, Nicolaus & Co. after the New York City financial adviser received an investor complaint alleging unauthorized and unsuitable trades resulting in investor damages of $389,000.
If you suffered significant losses with Kenneth Carl Ramos at Stifel, Nicolaus & Company’s New York, NY branch, contact securities attorney Lawrence L. Klayman at (888) 997-9956 or lklayman@klaymantoskes.com to discuss your recovery options at no cost.
According to Ramos’ FINRA BrokerCheck, the broker and investment adviser has been named in three public disclosures. The most recent disclosure is a customer complaint filed on January 13th, 2023 that alleges Ramos made unauthorized and unsuitable trades, did not follow the customer’s sell instructions, and did not explain the risks related to a unit investment trust and structured note products. The complaint alleges investor damages of $389,000.
Additional FINRA public disclosures on Ramos’ BrokerCheck Report reveal that he resigned from Morgan Stanley Wealth Management in 2017 following allegations that he executed some transactions for non-discretionary client accounts without speaking with the clients beforehand. A second customer complaint filed in 2002 alleged the investor objected to Ramos’ sales practices and was settled for $8000 in favor of the investor.
Kenneth Carl Ramos (CRD# 2553426)
Former and current customers of Kenneth Carl Ramos at Stifel, Nicolaus & Company’s New York, NY branch who have experienced significant investment losses are encouraged to contact securities attorney Lawrence L. Klayman, Esq. at 1-888-997-9956 or lklayman@klaymantoskes.com
KlaymanToskes offers legal services on a contingency fee basis, meaning we do not collect attorney’s fees unless we are able to obtain a financial recovery for you. KlaymanToskes also has the experience and resources to prosecute your claim. The firm has recovered over $250 million for investors in FINRA arbitration cases alone.
KlaymanToskes is a leading national securities law firm which practices exclusively in the field of securities arbitration on behalf of retail and institutional investors throughout the world in large and complex securities matters. The firm has recovered over $250 million in FINRA arbitrations and over $350 million in other securities litigation matters. KlaymanToskes has office locations in California, Florida, New York, and Puerto Rico.
KlaymanToskes, P.A.
Lawrence L. Klayman, Esq.
888-997-9956
lklayman@klaymantoskes.com
www.klaymantoskes.com