Keith Craig Baron, of Jericho, New York, a stockbroker previously registered with Equity Services Inc., has been barred by the Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member firm in any capacity. The disciplinary action stems from Baron making false statements to both his employer and FINRA, engaging in private securities transactions,…
Keith Craig Baron of Jericho, New York, a stockbroker formerly registered with Equity Services Inc., is the subject of an enforcement action initiated by the Financial Industry Regulatory Authority (FINRA) in which the regulator is seeking sanctions against Baron based upon allegations that Baron engaged in fraud and made misrepresentations of material fact in connection…
Keith Craig Baron of Jericho, New York, a stockbroker registered with Equity Services Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensation based upon allegations that Baron “misappropriated funds” in connection with the sale of oil and gas investments during the time that Baron…