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Investor Alleges Ramin Naghshineh Failed to Follow Instructions

Dec 19, 2022 Investor Disputes

Ramin Naghshineh (CRD #: 6454986), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, allegedly failed to follow a client’s instructions, according to his BrokerCheck record, accessed on December 7, 2022. Keep reading if you have questions about his alleged conduct as a broker.

Investor Dispute

On September 17, 2022, an investor filed a dispute alleging Ramin Naghshineh failed to follow instructions in August 2022. The firm denied this dispute.

Investors should be aware, however, that firms don’t need to permit an external review before denying a dispute. Investors can still pursue FINRA arbitration following a denial and may be able to recover their funds.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failure to follow instructions may be a violation of FINRA Rule 2010. 

Background Information

Ramin Naghshineh has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Ramin Naghshineh is a registered broker in ten states and a registered investment adviser in California and Texas.

Kurta Law Can Help

If you worked with Ramin Naghshineh and you have concerns about your investments, please contact us today at 877-600-0098 or 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.