Ramon Herrera – Financial Advisor/Broker Ramon Herrera Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Ramon Herrera CRD #6021170
Ramon Herrera was a formerly licensed broker/financial advisor with Wells Fargo Clearing Services, LLC. According to Ramon Herrera’s CRD, Ramon Herrera was barred from the securities industry in July 2018.
According to FINRA Allegations:
Ramon Herrera failed to respond to FINRA request for information.
According to Ramon Herrera’s CRD:
Three customer disputes have been filed alleging sales practice violations against Ramon Herrera.
Customer Dispute 4/12/18: Client, through his attorney-in-fact, verbally alleged Ramon Herrera withdrew funds from client’s account without his permission. This customer dispute was settled for $90,533.
Customer Dispute 4/4/18: Agent for clients alleged that Ramon Herrera withdrew funds from clients’ account without their permission. This customer dispute was settled for $20,179.45
Customer Dispute 1/13/18: Client’s POA noted that Ramon Herrera was one of 2 FAs assigned to her account. POA alleged excessive trading of client’s brokerage account and that $75,010 was withdrawn from client’s bank savings account without permission. POA did not allege with specificity which FA entered the trades in question nor did POA allege who was involved with the unauthorized withdrawals. This customer dispute was settled for $105,000.
Goodman & Nekvasil, P.A. May Recover Investment Losses
If you lost any money on investments with Ramon Herrera, you may be able to recover your losses. If you lost money on investments with Ramon Herrera 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 Ramon Herrera’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 $180 million on behalf of victimized investors. If you lost money on investments with Ramon Herrera 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.
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