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Andy Rampersaud Allegedly Failed to Follow Investor Instructions

Jun 29, 2022 Investor Disputes

Andy Rampersaud (CRD #: 4030919), a broker registered with Securities America, is involved in a new investor dispute. This is according to his BrokerCheck record, accessed on June 23, 2022. Investors may have engaged his services through Rampersaud Wealth Management.

According to allegations filed on April 11, 2022, Andy Rampersaud allegedly failed to follow his investor’s instructions. Investors are required by FINRA Rule 2010 to uphold high standards of commercial honor and just and equitable principles of trade.

Andy Rampersaud was also permitted to resign from Cambridge Investment Research in 2014, following allegations that he executed unauthorized transactions in a client account, in violation of FINRA Rule 3260.

Background Information

Andy Rampersaud has passed the following exams:

  • Series 65 Uniform Investment Adviser Law Examination
  • Series 63 Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 General Securities Representative Examination

He is a registered broker in ten states and a registered investment adviser in Florida.

Andy Rampersaud has worked for the following firms:

  • Securities America (CRD #: 10205)
  • Securities America Advisors (CRD #: 110518)
  • Investacorp Advisory Services (CRD #: 109011)
  • Investacorp (CRD #: 7684)
  • Cambridge Investment Research Advisors (CRD #: 134139)
  • Cambridge Investment Research (CRD #: 39543)
  • Ameriprise Financial Services (CRD #: 6363)
  • IDS Life Insurance Company (CRD #: 6321)
  • TD Waterhouse Investor Services (CRD #: 7870)
  • Continental Broker-Dealer (CRD #: 14048)

Kurta Law Can Help

If you worked with Andy Rampersaud and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.