Investors Complained About Keith Baron

Soreide Law Group is investigating possible investor claims against securities broker Keith Craig Baron [CRD: 3231494, Jericho, New York]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Equity Services Inc. Evidently, investors allege sales practice violations in these disputes related to misappropriation. Here is a brief summary of the disclosures about Baron. Keep in mind that the broker denies the accusations against him.

Equity Services Inc. Investor Accused Baron Of Soliciting Investments

Notably, on November 11, 2022, an Equity Services Inc. client filed FINRA Arbitration: 22-02591 about Keith Baron. Namely, the client alleged that Baron solicited investments to misappropriate investor funds. Because of this, the client allegedly sustained damages on oil and gas investments. Therefore, the client requested compensation from Equity Services Inc. or Baron. Evidently, this arbitration is pending a resolution.

Keith Baron Discloses Unauthorized Withdrawal Allegations By Equity Services Inc. Client

Particularly, on July 22, 2019, an Equity Services Inc. client filed a complaint about Keith Baron. Namely, the client alleged that Baron withdrew client funds without authorization. Because of this, the client allegedly sustained damages on over-the-counter equities. Therefore, the client requested $425,000 in compensation from Equity Services Inc. or Baron. However, the securities firm and broker denied this complaint.

Baron Discloses Allegations Of Omissions

Specifically, a client of NYLife Securities LLC contested Keith Baron’s sales practices, according to a complaint. Allegedly, Baron made omissions. Supposedly, Baron caused the client to sustain damages on mutual funds and life insurance products. Therefore, NYLife Securities LLC opted to settle the matter on June 24, 2014, by compensating the client in the amount of $68,124.24.

Keith Baron Discloses Misrepresentation Allegations By NYLife Securities LLC Client

Notably, a client of NYLife Securities LLC contested Keith Baron’s sales practices by filing Civil Suit: BASC 394-12. Allegedly, Baron made misrepresentations. Supposedly, Baron caused the client to sustain damages on variable annuities. Therefore, NYLife Securities LLC opted to settle the matter on September 21, 2012, by compensating the client.

S.G. Martin Securities LLC Investor Accused Baron Of Poor Performance

Evidently, on June 28, 2007, a S.G. Martin Securities LLC client filed a complaint about Keith Baron. Namely, the client alleged that Baron recommended investments which poorly performed. Because of this, the client allegedly sustained damages on over-the-counter equities. Therefore, the client requested compensation from S.G. Martin Securities LLC or Baron. However, the securities firm and broker closed this complaint without resolution.

Employment Information

Keith Baron worked for Equity Services Inc. as a securities broker from August 2015 to January 2022.

Did Equity Services Inc. Securities Broker Keith Baron Cause You To Experience Damages?

Have you suffered losses because of Keith Baron? If so, get in touch with Soreide Law Group online or at (888) 760-6552 and speak with a securities lawyer concerning a potential recovery of your investment losses. Soreide Law Group, who has successfully recovered money for investors in all 50 states, works on a contingency fee basis and advances all costs. Baron and brokerage firms Baron worked for deny accusations of sales practice violations.