Investors might have sustained losses due to securities broker Joshua Lofton Baker (also known as Joshua Baker Ford) [CRD: 5230762, Hoover, Alabama], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Baker worked for MML Investors Services LLC from June 15, 2017, to December 7, 2023, and later worked for OneAmerica Securities Inc. from March 27, 2024, to April 10, 2024. Keep reading to learn more about Baker’s disclosures.
Evidently, an MML Investors Services LLC client filed FINRA Arbitration No. 23-02452 about Joshua Baker. Mainly, the client alleged that Baker made misrepresentations and charged excessive fees. Because of this, the client allegedly incurred damages associated with variable annuities. Therefore, on February 6, 2024, MML Investors Services LLC settled this matter by paying the client $20,000 in damages.
Additionally, a client of MML Investors Services LLC contested Joshua Baker’s sales practices by filing FINRA Arbitration No. 23-02489. Allegedly, Baker falsified signatures and made misrepresentations in connection with certain insurance applications. It appears that Baker caused the client to sustain damages connected to whole life insurance and variable annuities. As a result, MML Investors Services LLC opted to settle the matter on March 27, 2024, by compensating the client in the amount of $450,000.
Notably, on November 7, 2023, MML Investors Services LLC disaffiliated with Baker. Particularly, MML Investors Services LLC alleged that Baker was the subject of a client complaint alleging sales practice violations involving whole life insurance and variable annuities.
Do you need clarification on any investment losses relating to Joshua Baker? Get in touch with Soreide Law Group at (888) 760-6552 or online and talk with a securities lawyer concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for clients located throughout the country. Also, the firm works on a contingency fee basis and advances all costs. Baker and brokerage firms Baker worked for deny allegations of sales practice violations.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
A claim filed on September 11, 2024 names Thomas Hamlin (CRD 2208505) over a 10% Senior Unsecured Note in iCap Fund III. Every disclosure on his BrokerCheck report involves an iCap private placement and names Somerset Securities as the firm. Each one settled, and a settlement is not an admission of wrongdoing.
Peter Po's most recent settlement came on June 28, 2026, when a corporate bond claim settled for $40,000. Po (CRD 3106974) appears in several settled customer disputes over corporate and high-yield bonds. The disclosures name NI Advisors or California Securities as the firm, and each matter ended in a settlement, not a finding.
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