Harold Ramsey: Investor Alleges Unsuitable Investment Recommendation
Harold Ramsey (CRD #: 5065990), a broker registered with Paulson Investment Company, is facing an investor dispute over suitability. This is according to his BrokerCheck record, accessed on June 26, 2021.
On June 7, 2021, an investor alleged that Harold Ramsey recommended an unsuitable investment. The investor is seeking $50,000; the dispute is pending.
“Suitability” refers to the FINRA requirement that brokers only recommend investments that suit an investor’s financial goals, risk tolerance, age, and time horizon – among other factors. In order to recommend a suitable investment, the broker should perform their due diligence and fully understand the security they recommend.
Harold Ramsey also has two civil liens on his record.
Harold Ramsey Background Information
Ramsey has passed the following exams:
- Series 65 Uniform Investment Adviser Law Examination
- Series 63 Uniform Securities Agent State Law Examination
- Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
- Series 24 General Securities Principal Examination
He is a registered broker in seven states.
Harold Ramsey has worked with the following firms:
- Paulson Investment Company (CRD #: 5670)
- Spartan Capital Private Wealth Management (CRD #: 154632)
- Spartan Capital Securities (CRD #: 146251)
- Benchmark Advisory Services (CRD #: 305662)
- Benchmark Investment s (CRD #: 103792)
- Newbridge Financial Services Group (CRD #: 130814)
- National Asset Management (CRD #: 115927)
- National Securities Corporation (CRD #: 7569)
- Aegis Capital Corp (CRD #: 15007)
- John Carris Investments (CRD #: 145767)
- Joseph Gunnar & Co. (CRD #: 24795)
- Garden State Securities (CRD #: 10083)
- World Equity Group (CRD #: 29087)
- Laidlaw & Company (UK) (CRD #: 119037)
- Brookstreet Securities Corporation (CRD #: 14667)
Kurta Law Can Help
If you worked with Harold Ramsey and you have concerns about your investments, contact Kurta Law today. Call 212-658-1502 or email firstname.lastname@example.org.