Dale Ramsperger – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Dale Ramsperger is a licensed financial advisor/broker with DMK Advisor Group. Dale Ramsperger was previously licensed with Securities America Advisors.
According to FINRA, Dale Ramsperger was suspended from the securities industry for five months in September 2021.
According to FINRA Allegations:
Ramsperger consented to the sanction and to the entry of findings that he participated in a private securities transaction without prior written disclosure to his member firm. The findings stated that Ramsperger notified two former customers of the firm about an investment opportunity in a media company that he served as a minority shareholder and as an executive, who ultimately invested in the company by purchasing a promissory note in the total amount of $250,000. Ramsperger drafted the note and related documents, provided the documents to the customers for execution, and signed the note on behalf of the media company. At the end of the investment’s five-year term, one customer agreed to reinvest in the company and Ramsperger drafted a revised promissory note that he also executed on behalf of the media company. Ramsperger did not receive selling compensation for participating in the private securities transactions. Ramsperger’s failure to provide prior written notice to the firm is aggravated by the fact that he did not disclose that he was engaged in a private securities transaction on several attestations he provided to the firm.
Goodman & Nekvasil, P.A. May Recover Investor Losses:
If you lost money on investments with Dale Ramsperger and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Dale Ramsperger’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $200 million on behalf of victimized investors. If you lost money on investments with Dale Ramsperger and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.