DID OSWALDO HORACIO RAMOS CAUSE YOU INVESTMENT LOSSES?
About Oswaldo Ramos of Western International Securities, Inc.?
Oswaldo Ramos (CRD #2572345) located in Westlake Village, California, has in the securities industry for over 30 years. Since April 2018 he’s been employed by Western International Securities, Inc. as a registered broker and investment adviser. Prior to his current role, Ramos was registered with Citigroup Global Markets Inc. from March 2008 to May 2018, and WaMu Investments, Inc. from January 1999 to December 2007. His earlier career includes positions at Griffin Financial Services and FIMCO Securities Group, Inc. Ramos has passed three General Industry/Product Exams and two Multi-State Securities Law Exams but has not completed any Principal/Supervisory Exams. He is licensed in eight U.S. states and territories and is registered with one Self-Regulatory Organization (SRO).
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Oswaldo Ramos Customer Complaints and Reviews
Ramos has one pending customer dispute recorded in his BrokerCheck report as follows:
- Customer Dispute Filed November 19, 2024
- Claim: The customer alleges that an investment recommendation was unsuitable and misleading. The investments were made between June and October 2020.
- Product Type: Corporate Debt Securities
- Damages: $80,000
- Status: The case is pending under FINRA Arbitration under Docket #24-02489
Allegations Against Oswaldo Ramos
- The pending dispute centers around allegations of unsuitable investment recommendations and misleading advice related to corporate debt securities.
- Corporate debt investments can carry risks depending on credit quality, interest rate fluctuations, and market conditions, making suitability an important factor in such transactions.
- The amount in dispute is $80,000, indicating a significant financial concern for the client.
Oswaldo Ramos Red Flags & Your Rights As An Investor
Of course, Oswaldo 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 Oswaldo Ramos at Western International Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Oswaldo Ramos has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities, Inc. 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.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Western International Securities, Inc. Due To Oswaldo Ramos
If you have questions about Western International Securities, Inc. and/or Oswaldo 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.
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