James W. Stowell of Peoria Illinois a stockbroker formerly employed by Robert W. Baird Co. Incorporated has been fined $7,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected unauthorized transactions in a customer’s account. Letter of Acceptance Waiver and Consent…
Thomas Bertram Guthrie of Spokane Washington, a stockbroker currently associated with Robert W. Baird & Co. Incorporated, is the subject of a customer initiated investment related written complaint on August 4, 2017, in which the customer requested $450,000.00 in damages supported by accusations that stock transactions were effected in the customer’s account which were not…
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…