KALYAN GEORGE RAMAN

KALYAN GEORGE RAMAN is currently employed as a Broker and/or Investment Adviser at VOYA FINANCIAL ADVISORS, INC. located at 1435 OLMSTED DR, BEAR, DE, 19701.

KALYAN GEORGE RAMAN has worked at VOYA FINANCIAL ADVISORS, INC. since October 01, 1995

Disclosure History

KALYAN GEORGE RAMAN has 1 Disclosure Event(s).

Date: April 17, 2009
Category: Customer Dispute
Allegations: CLIENT ALLEGES THE REP MISREPRESENTED SEVERAL INVESTMENTS HE PURCHASED FROM HIM. HE FURTHER ALLEGES THAT THE INVESTMENTS ARE UNSUITABLE FOR HIM AND HIS FAMILY.
Settlement Amount: $25,000.00
Broker Comment: THE FIRM INVESTIGATED THE CLIENT'S ALLEGATIONS AND FOUND THEM TO BE WITHOUT MERIT. SUBSEQUENT TO THE DENIAL OF THE COMPLAINT, THE CLIENT FILED A FINRA ARBITRATION. WITHOUT ADMITTING FAULT, THE FIRM SETTLED THE CLAIM.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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