JAMES DANIEL RAMSEY is currently employed as a Broker and/or Investment Adviser at VALIC FINANCIAL ADVISORS, INC. located at 16650 GREENBRIAR PLAZA DRIVE, HOUSTON, TX, 77060.
JAMES DANIEL RAMSEY has worked at VALIC FINANCIAL ADVISORS, INC. since November 20, 2012
Disclosure History
JAMES DANIEL RAMSEY has 2 Disclosure Event(s).
Date: December 27, 1993 Category: Employment Separation After Allegations Firm Name: PRUDENTIAL SECURITIES INCORPORATED Termination Type: Discharged Allegations: INQUIRY WITH REGARD TO FORM U5 SUBMITTED BY PRUDENTIAL SECURITIES, INC. STATING TERMINATION WAS DUE TO ANINTERNAL REVIEW FOR VIOLATING RULES OR INDUSTRY STANDARDS OF CONDUCT CONCERNING UNAUTHORIZED TRADING IN THE ACCOUNT OF DONALD CASE. Broker Comment: NO ACTION TAKEN. IN DECEMBER 1993, AFTER BEING UNABLE TO REACH MR. CASE, I USED DISCRETION IN THE EXECUTION OF CERTAIN TRADES ON BEHALF OF HIS ACCOUNT. SUCH DISCRETION WAS BASED UPON THE VERBAL AUTHORIZATION WHICH MY CLIENT HAD PREVIOUSLY GIVEN ME TO ACT ON HIS BEHALF. AT NO TIME DID THIS CUSTOMER COMPLAIN OR FEEL THAT THE TRANSACTIONS IN HIS ACCOUNT WERE UNAUTHORIZED, AS EVIDENCE BY HIS LETTER ON BEHALF OF APPLICANT. ALTHOUGHT THERE WAS NO COMPLAINT FILED BY MR. CASE, PRUDENTIAL SECURITIES FELT COMPELLED TO NEGOTIATE A PRE-EMPTIVE SETTLEMENT WITH HIMIN THE AMOUNT OF $7,114.00, WHICH I REIMBURSED TO PRUDENTIAL SECURITIES, AND RESIGNED. AT NO TIME DID I ENGAGE IN ANY WRONGDOING, NOR DID I ENGAGE IN ANY UNAUTHORIZED TRADING. MY CLIENT GAVE ME FULL AUTHORIZATION IN THE FORM OF A VERBAL POWER OF ATTORNEY, TO ACT ON HIS BEHALF, IN KEEPING WITH HIS INVESTMENT OBJECTIVE. IN THE FUTURE, ANY DISCRETION CONVEYED BY A CLIENT TO ME SHALL BE DOCUMENTED IN THE FORM OF A WRITTEN POWER OF ATTORNEY PRIOR TO THE EXECUTION OF ANY SECURITIES TRANSACTIONS ON BEHALF OF THE CUSTOMER ACCOUNT.
Date: August 01, 1985 Category: Employment Separation After Allegations Firm Name: DEAN WITTER REYNOLDS, INC. Termination Type: Discharged Allegations: NONEIT WAS ALLEGED THAT, WITHOUT HAVINGPREVIOUSLY OBTAINED VALID POWERS OF ATTORNEY, I AFFIXED CLIENTSIGNATURES TO CERTAIN FIRM DOCUMENTS IN ORDER TO FACILITATECUSTOMER INSTRUCTIONS. NO DAMAGES ALLEGED OR CLAIMS FILED. Broker Comment: LETTER OF CAUTION ISSUED BY NASD DISTRICTBUSINESS CONDUCT COMMITTEE. NO SANCTIONS OR RESTRICTIONSAPPLIED, NOR ARE ANY IN FORCE CURRENTLY. NO FINES OR PENALTIESASSESSED.QUESTIONS 22D2 AND 22F2 PREVIOUSLY YES IN ERROR.
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