Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Ramon Herrera. If you suffered losses investing with Ramon Herrera, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
UPDATE 5/1/2020: On October 18, 2019 the New Jersey Bureau of Securities issued an Order revoking Ramon Herrera’s registration as a registered representative and investment advisor representative.
Ramon Herrera (CRD# 6021170)
As of November 6, 2019, Ramon Herrera’s FINRA BrokerCheck Report contains the following:
Disclosure Events
3 Customer Dispute(s)
2 Regulatory Event(s)
1 Financial Disclosure(s)
Current and Previous Registrations
04/09/2012 – 01/29/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) JERSEY CITY, NJ
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Ramon Herrera and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.