MANUEL RAMOS is currently employed as a Broker and/or Investment Adviser at CENTAURUS FINANCIAL, INC. located at 8141 E. 2ND STREET, SUITE #608-A, DOWNEY, CA, 90241.
MANUEL RAMOS has worked at CENTAURUS FINANCIAL, INC. since February 08, 2011
Disclosure History
MANUEL RAMOS has 3 Disclosure Event(s).
Date: August 17, 2012 Category: Customer Dispute Allegations: CLIENT ALLEGES THE FIXED INDEX ANNUITY WAS NOT SUITABLE AT THE TIME OF PURCHASE BASED ON HER SPECIFIC NEEDS AND INVESTMENT TIME HORIZON. Damage Amount Requested: $153,000.00 Broker Comment: REPRESENTATIVE CATEGORICALLY DENIES ANY WORNGDOING IN THIS MATTER. THE CLIENT WAS FULLY AWARE OF THE CONSEQUENCES TO HER FIXED INDEXED ANNUITY POLICY SHOULD SHE MAKE WITHDRAWALS AND/OR SURRENDERS BEFORE DEATH. THIS INVESTMENT WAS SUITABLE BASED ON HER INVESTMENT OBJECTIVES, FINANCIAL SITUATION AND PARTICULAR CIRCUMSTANCES AT THE TIME OF PURCHASE. THE ALLEGED DAMAGES ARE GROSSLY INACCURATE AND UNFOUNDED.
Date: May 25, 2011 Category: Customer Dispute Allegations: CLIENT ALLEGES SALE OF FIXED INDEX ANNUITY CONTRACT IN DECEMBER OF 2010 CONTRADICTS STATAED GOALS AS WELL AS HER BEST INTEREST. CLIENT ALLEGES HER SPOUSE'S DEATH, THREE MONTHS PRIOR TO SALE, AND HER GRIEF MADE HER INCAPABLE OF REASONING OR OF MAKING DECISIONS CLEARLY. Damage Amount Requested: $49,500.00 Broker Comment: CLIENT RECEIVED FINANCIAL & LEGAL ADVICE FROM OTHER PARTIES WHICH CONFUSED HER ON THE ORIGINAL FINANCIAL PLAN.
Date: August 22, 2003 Category: Customer Dispute Allegations: CLIENT ALLEGES UNSUITABLE RECOMMENDATIONS & MISREPRESENTATIONS MADE BY THE REG. REP. Damage Amount Requested: $30,500.00 Broker Comment: BASED ON AN INTERNAL REVIEW TOWER SQUARE FOUND NO EVIDENCE OF UNSUITABLE RECOMMENDATIONS OR MISREPRESENTATIONS. THE NASD LOS ANGELES DISTRICT OFFICE ALSO CLOSED ITS INVESTIGATION ON 02/20/2004.
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