Steve Baptist of New York New York a stockbroker formerly registered with Joseph Gunnar Co. LLC has been discharged by the firm on May 29, 2018 supported by accusations that Baptist placed unauthorized trades in a customer’s account.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally confirms that on February 19, 2014, a customer filed an investment related complaint regarding Baptist’s activities where the customer requested $13,936.00 in damages based upon allegations that sales of securities had been executed without the customer’s permission, and over-the-counter equities and corporate debt products held in the customer’s investment portfolio were not suitable for the customer.
Baptist’s registration with PHX Financial, Inc. commenced on June 13, 2018.
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