SAMUEL A. RAMIREZ & COMPANY, INC.
Controversies
Controversies tied to this brand in public sources. A listing is not a finding of fault.
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2021
Ramirez & Co. agrees to settle FINRA charges
Settlement
Samuel A. Ramirez & Co. agreed to pay a $35,000 fine to settle FINRA charges over alleged municipal-securities reporting, recordkeeping and supervisory violations. The firm neither admitted nor denied FINRA's findings.
Source excerpt
Samuel A. Ramirez & Co. has agreed to pay a $35,000 fine to settle Financial Industry Regulatory Authority charges it violated municipal securities rules governing information reporting, recordkeeping and supervision.