Antonio Ramirez of Aliso Viejo California a stockbroker formerly employed by RP Capital LLC is the subject of a customer initiated investment related civil action that settled for $5,795,000.00 in damages founded on allegations that (1) alternative investment transactions were executed in the customer’s account that were not suitable for the customer (2) misrepresentations had been made to the customer concerning promissory notes and direct investment products and (3) Ramirez failed to supervise the activities in the customer’s account concerning the customer’s investment in Aequitas. Case No. 3:17-cv-00869-HZ (Oct. 18, 2017).
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Ramirez has been identified in two more customer initiated investment related disputes containing accusations of Ramirez’s violative conduct during the time that he was associated with RP Capital LLC. For example, a customer filed an investment related arbitration claim involving Ramirez’s conduct where the customer requested $1,810,000.00 in damages based upon allegations including suitability; failure to conduct due diligence on Aequitas private placements; misrepresentation; and fraud. FINRA Arbitration No. 16-01610 (June 20, 2016).
Ramirez’s registration with RP Capital LLC has been terminated as of April 26, 2016. Since December 19, 2017, Ramirez has been registered with The Benchmark Company.
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