fbpx

Noe Ramirez- Former Merrill Lynch Broker-Barred From Securities Industry by Regulators-Austin, TX

Noe Ramirez- Former Merrill Lynch Broker-Barred From Securities Industry by Regulators-Austin, TX

Noe Ramirez- Former Merrill Lynch Broker-Barred From Securities Industry by Regulators-Austin, TX 150 150 ER

Noe Ramirez Investigation

July 2022-Austin, TX

According to publicly available records Noe Ramirez, former Merrill Lynch broker, discloses a final regulatory matter resulting in a permanent bar from the securities industry and a termination from employment.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In 9/2021 FINRA permanently barred Ramirez from the industry to resolve allegations that he failed to respond to FINRA requests for information in connection with a regulatory investigation.

IN 10/2020, Ramirez voluntarily resigned from Merrill Lynch, Pierce, Fenner & Smith after allegations of failure to disclose an outside business activity and conduct inconsistent with Firm standards regarding personal bank accounts.

Ramirez was with Merrill Lynch from 7/2019 until 10/2020.   Before that time he was with Chase Investment Services Corp.  

If you have suffered losses in an account handled by Noe Ramirez, contact us for a no charge consultation to learn how you may be able to recover damages through FINRA arbitration.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

%d bloggers like this: