Ramin Abrams is the Subject of a FINRA Suspension

Ramin Abrams (CRD #: 6705502) has been suspended by FINRA. This disclosure appears on his BrokerCheck record, accessed on November 29, 2025. Keep reading if you have questions regarding his alleged conduct.

Regulatory Action

On August 4, 2025, Ramin Abrams entered into an Acceptance, Waiver, and Consent agreement in which he consented to the findings that he made negligent misrepresentations of material fact when he provided letters to a customer’s employer on behalf of his member firm without prior approval. He allegedly stated in the letters that customers did not have the ability to self-direct trades in the accounts when they did.

As part of the terms of the AWC, Ramin Abrams consented to a $5,000 fine and a three-month suspension.

You can read a copy of the AWC here.

Employment Separation After Allegations

On December 13, 2023, Wells Fargo Clearing Services fired Ramin Abrams following allegations that he sent letters to clients without firm approval and that those letters contained incorrect statements.

Background Information

Ramin Abrams 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 has registered with the following firms:

• Wells Fargo Clearing Services (CRD #: 19616)
• Morgan Stanley (CRD #: 149777)
• AXA Advisors (CRD #: 6627)

Kurta Law Can Help

If you worked with Ramin Abrams 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 that 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.