Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 27, 2018 indicate that New York-based Westpark Capital broker/adviser Hector Ramos has received a customer dispute and a FINRA sanction. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ramos (CRD# 4172477).
Hector Ramos has spent 18 years in the securities industry and has been registered with Westpark Capital in New York, New York since 2016. Previous registrations include Bishop Rosen & Company in New York, New York (2014-2016); Morgan Stanley in New York, New York (2011-2014); Merrill Lynch in New York, New York (2008-2011); Morgan Stanley & Company in New York, New York (2007-2008); Morgan Stanley DW in New York, New York (2007); ING Financial Partners in New York, New York (2006-2007); AIG Financial Advisors in New York, New York (2005-2006); SunAmerica Securities in Phoenix, Arizona (2002-2005); and Prudential Securities in New York, New York (2000-2002). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 24, 2000; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 8, 2000; Series 31 (Futures Managed Funds Examination), which he obtained on February 23, 2007; and Series 7 (General Securities Representative Examination), which he obtained on June 17, 2000. He is a registered broker and investment adviser with three US states: California, New Jersey, and New York.
According to his BrokerCheck report, he has received one customer complaint, one FINRA sanction, and one unsatisfied civil judgment or lien, and he was discharged from a former employer in connection to alleged rule violations.