DID KEITH CRAIG BARON CAUSE YOU INVESTMENT LOSSES?
Keith Baron Formerly with Equity Services, Inc. Has 6 Customer Complaints For Alleged Broker Misconduct
About Keith Baron formerly with Equity Services, Inc.?
Keith Baron (CRD #3231494) has a diverse background in the securities industry, though he is not currently registered. Over the course of his career, Baron has been associated with multiple firms, including Equity Services, Inc., Park Avenue Securities LLC, and NYLIFE Securities LLC. His roles have varied from registered representative to sales agent. Baron has passed two general industry/product exams (Securities Industry Essentials Examination and General Securities Representative Examination) and one multi-state securities law exam (Uniform Securities Agent State Law Examination).
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Keith Baron Customer Complaints and Reviews
Keith C. Baron’s professional record includes multiple negative disclosures:
- Regulatory Events (2 instances):
- 1. On January 9, 2014, Baron was fined $10,000 and suspended for two months by FINRA for failing to timely disclose his involvement in a lawsuit and making material misrepresentations to his member firm.
- 2. A pending regulatory action initiated on December 14, 2023, alleges that Baron made material misrepresentations to investors regarding a conflict of interest with a company for which he served as a consultant.
- Customer Disputes (6 instances): These disputes include allegations of misrepresentation and failure to disclose fees associated with policies and investments, leading to various settlements ranging up to $68,124.24, none of which were financially contributed to by Baron.
- Termination (1 instance): Baron was permitted to resign from NYLIFE Securities LLC in 2011 after an internal review related to the inappropriate transfer of real property and potentially unsuitable insurance product recommendations.
Allegations Against Keith Baron
- Regulatory Actions:
- Failed to disclose involvement in a lawsuit within the required time frame and misrepresented facts to his member firm.
- Alleged undisclosed conflict of interest with a company he recommended to investors.
- Customer Complaints:
- Allegations of misrepresentations concerning the terms and fees of insurance policies and investment products.
- Misrepresented the potential returns and fees associated with variable annuity policies.
- Termination:
- Baron resigned amidst allegations of recommending unsuitable insurance products and an inappropriate property transfer.
Keith Baron Red Flags & Your Rights As An Investor
Of course, Keith Baron did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Keith Baron at Equity Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Keith Baron has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equity Services, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Equity Services, Inc. Due To Keith Baron
If you have questions about Equity Services, Inc. and/or Keith Baron and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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