Gregory Jackson Baxter of Fresno California a stockbroker formerly registered with UBS Financial Services Inc. has been discharged by the firm on November 29, 2017 based upon allegations that he engaged in outside business activities in 2017 after his requests for engaging in those activities had already been denied by the firm.
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Baxter has been identified in two customer initiated investment related disputes containing accusations of his misconduct while employed with Morgan Stanley. Specifically, a customer initiated investment related arbitration claim concerning Baxter’s activities was resolved for $9,597.00 in damages supported by allegations that misrepresentations and unsuitable corporate bond investment recommendations had been made to the customer. New York Stock Exchange (NYSE) Arbitration No. 2002-010383 (Apr. 24, 2003).
Additionally, a customer initiated investment related arbitration claim regarding Baxter’s conduct was settled for $11,044.00 in damages founded on accusations of the customer being provided with bad advice regarding corporate bond investments, and misrepresentations being made concerning the risks or characteristics of corporate bonds.
Baxter has been employed by LPL Financial LLC since January 10, 2018.
