Daniel Joe Baldwin of Walnut Creek, California, a stockbroker registered with Morgan Stanley, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $45,000.00 in damages based upon allegations that Baldwin made misrepresentations of material fact in connection with the sale of corporate bonds when Baldwin was associated with Morgan Stanley. FINRA Arbitration No. 23-00152 (January 18, 2023).
This is not the first time that Baldwin has been referenced in a customer initiated investment related dispute concerning Baldwin’s conduct in the securities industry. FINRA Public Disclosure shows that Baldwin is also referenced in a customer initiated investment related NASD securities arbitration claim that was settled for $19,750.00 in damages based upon allegations that Baldwin engaged in unauthorized trading, made unsuitable recommendations, breached his fiduciary duties, was negligent, and made misrepresentations of material fact in connection with the sale of over-the-counter equities when Baldwin was associated with UBS Financial Services Inc. NASD Arbitration No. 01-03947 (April 23, 2003).
Baldwin has been associated with Morgan Stanley as a stockbroker and as an investment advisor representative since June 1, 2009.
