Tag Archives: Robert W. Baird & Co Inc.

Investors Bring FINRA Arbitration Claim Against Hilliard Lyons For Unsuitable Recommendations

November 30, 2020  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Securities Arbitration Claims, Unsuitable Investment Recommendations   |   Comments Off on Investors Bring FINRA Arbitration Claim Against Hilliard Lyons For Unsuitable Recommendations

Michael B. Barnett of Nashville Tennessee a stockbroker formerly registered with JJB Hilliard WL Lyons is the subject of a customer initiated investment related arbitration claim which was settled for $130,000.00 in damages based upon allegations that the customer had been sold unsuitable Breitburn Energy investments and that a contract between the customer and Hilliard […]

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Investors Accuse Robert Baird Of Concealing Investment Risk

December 06, 2019  |   Posted by :   |   Investment and Regulatory News, Mutual Fund Fraud   |   0 Comments

William S. Fedor Jr. of Tucson Arizona a stockbroker currently registered with Robert W. Baird Co. Incorporated is the subject of a customer initiated investment related complaint on January 22, 2019 which was resolved for more than $10,000.00 in damages supported by allegations of Fedor failing to provide the customer with adequate information regarding the […]

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Baird Stockbroker Sanctioned For Private Securities Transactions

Michael Jason Collins of Chicago Illinois a stockbroker formerly registered with Robert W. Baird Co. Incorporated has been fined $10,000.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Collins sold away from his securities broker dealer employer. Letter of Acceptance Waiver […]

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Robert Baird Broker Suspended By FINRA For Unsuitable Investments

Jodie Ann LaMarre of Sarasota Florida is a stockbroker formerly registered with Robert W. Baird and Co. Incorporated who has been fined ten thousand dollars and suspended for one year from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she made an unsuitable investment recommendation […]

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Broker Dealers Censured For Failure To Provide Customers Discounts

Multiple Financial Industry Regulatory Authority (FINRA) member broker dealers, including Robert W. Baird & Co, Inc., BB&T Securities, LLC., U.S. Bancorp Investments, Inc., Fifth Third Securities, Inc., and PNC Investments LLC, were recently censured and ordered to pay restitution to customers after consenting to findings that the firms’ overcharged customers in mutual funds purchases, and […]

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