Ty Kevin Bauer, a stockbroker formerly registered with J.P. Turner & Company, L.L.C., has been named in a customer initiated investment related arbitration claim on March 3, 2016, in which a customer requested $500,000.00 in damages based upon allegations that from 2011 to 2016, Bauer effected unsuitable corporate debt and direct investment transactions, and churned the customer’s account.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Bauer has been named in two additional customer initiated investment related disputes regarding allegations of Bauer’s misconduct while employed with Calton & Associates, Inc. and J.P. Turner & Company, L.L.C. Specifically, on May 22, 2008, a customer initiated investment related complaint involving Bauer’s conduct was settled for $30,000.00 in damages based upon allegations that Bauer effected unauthorized corporate debt transactions in the customer’s account.
Additionally, on August 22, 2014, a customer initiated investment related arbitration claim regarding Bauer’s activities was resolved for $18,000.00 in damages based upon allegations that Bauer breached his fiduciary duties owed to the customer, effected unauthorized and unsuitable transactions in the customer’s account, and made misrepresentations concerning asset backed debt securities.
On January 13, 2015, Bauer’s registration with J.P. Turner & Company, L.L.C. was terminated. Since July 28, 2016, Bauer has been registered with Alexander Capital, L.P.
Guiliano Law Group
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