Steve Baaden Investigation
August, 2022 – Dallas, TX
The FINRA records of Steven R. Baaden, an Oppenheimer & Co. broker, disclose settlement of a recent customer dispute.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In Februray of 2021, FINRA case #21-00276 was filed by an Oppenheimer & Co., Inc. customer alleging claims for unsuitability, fraud, breach of contract and breach of fiduciary duty in connection with his investments from April of 2014 until the present. In 6/2022 the case was settled for $180,000. Baaden contributed $80,000 personally to the resolution of this case.
Baaden discloses 4 other cases that were resolved by cash payments to the customer and 2 other cases resolved by arbitration awards.
Baaden has been with employed with Oppenheimer Co. Inc. since February of 2013.
If you have questions about an account handled by Steve Baaden, call for a no charge consultation with an experienced securities attorney .
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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