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Robert W Baird Sanctioned For Failure To Supervise

August 08, 2016 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News, Misappropriation of Funds, Stockbroker Theft | 0 Comments

Robert W. Baird, headquartered in Milwaukee, Wisconsin, as well as Rolf Parker Griffith III, a stockbroker and supervisor with Robert W. Baird, were sanctioned by Financial Industry Regulatory Authority (FINRA) after consenting to findings that the firm and Griffith failed to properly supervise a registered representative’s misuse of customer funds. Letter of Acceptance, Waiver and […]

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Robert W Baird Sanctioned For Failure To Supervise

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