Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Manuel Ramos (Ramos), currently associated with Centaurus Financial, Inc. and Nestyield ETFs, has at least five disclosable events. These events include five customer complaints alleging that Ramos recommended unsuitable investments in different investment products.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000 on December 19, 2023.
The customer alleges that in November 2016, the Registered Representative recommended illiquid investments with declining values and high fees.
