Articles Posted in Securities America

FINRA has suspended former Securities America, Inc. (SAI) broker Dale Allen Ramsperger from the securities industry for five months. Mr. Ramsperger consented to the sanction and to the entry of findings that he participated in a private securities transaction without prior written disclosure to his firm. His suspension is scheduled to begin on September 20, 2021, and end on February 19, 2022.

If you have suffered investment losses with Dale Allen Ramsperger, or Securities America, Inc., contact New York securities arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account.

Iorio Altamirano LLP represents investors nationwide that have disputes with their financial advisors or brokerage firms.

The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker William Dixon. from the securities industry.  Mr. Dixon was expelled from the brokerage industry for refusing to cooperate with a FINRA investigation.  FINRA’s investigation originated after Securities America, Inc. discharged Mr. Dixon and alleged that he signed his deceased client’s signature and initials on multiple annuity surrender forms.

Mr. Dixon was registered with Securities America, Inc. in Urbana, Ohio, from September 2016 until October 2019.

If you have suffered financial losses investing with William Dixon or Securities  America, Inc., contact  New York securities arbitration law firm Iorio Altamirano LLP for a free and confidential review of your account.

The Financial Industry Regulatory Authority (“FINRA”) has sanctioned Securities America, Inc. (“Securities America”) for failing to reasonably supervise brokers’ recommendations of the LJM Preservation & Growth Fund.  On March 29, 2021, FINRA and Securities America entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) whereby Securities America accepted the following sanctions:

  • a censure;
  • a $100,000 fine;
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