Hector Ramos

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/01/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041737601 Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Hector Ramos (CRD No. 4172477), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Hector Ramos (CRD No. 4172477) ("Ramos or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose proposing a settlement of the alleged rule violations described below.
Reference 2014041737601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/02/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2018059983001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Hector Ramos, Respondent Former Registered Representative CRD No. 4172477 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Hector Ramos submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2018059983001data-portal.finra.org finra.org

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