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Robert W. Baird

Jodie LaMarre- Former Robert W. Baird & Co. Broker- Discloses Regulatory Event & Two Settled Customer Disputes-Sarasota, FL

Jodie LaMarre- Former Robert W. Baird & Co. Broker- Discloses Regulatory Event & Two Settled Customer Disputes-Sarasota, FL 150 150 Rex Securities Law

June 2019- Sarasota, FL According to publicly available records Jodie A. Lamarre (CRD#2127928) ,  a  stockbroker who is currently not registered  discloses a regulatory event and 2 settled customer disputes .…

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Robert W. Baird & Co. Broker Sanctioned for Trading Without Approval

Robert W. Baird & Co. Broker Sanctioned for Trading Without Approval 150 150 Rex Securities Law

October 16, 2015- Portland, Oregon James G. Christianson  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from July 2011…

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Former Robert W Baird Broker -Franklin, TN, Barred From Securities Industry

Former Robert W Baird Broker -Franklin, TN, Barred From Securities Industry 150 150 Rex Securities Law

Patrick L. Garrett ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he intentionally and knowingly misrepresented to a…

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Robert W. Baird Broker Barred from Industry for Misrepresenting Account Value to Customer

Robert W. Baird Broker Barred from Industry for Misrepresenting Account Value to Customer 150 150 Rex Securities Law

August 4, 2015 Patrick Landon Garrett, of Franklin, TN ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he verbally…

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Losses on Cushing Royalty & Income Fund ??

Losses on Cushing Royalty & Income Fund ?? 150 150 Rex Securities Law

June 15,2015, Cushing & Royalty Income Fund (SRF) which traded at $25 in February 2012 currently trades at less than $5. It is a leveraged fund which invests in oil…

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Feltl & Co. Broker Timothy O’Brien Sanctioned by Securities Regulator

Feltl & Co. Broker Timothy O’Brien Sanctioned by Securities Regulator 150 150 Rex Securities Law

December 31,2014 Timothy David O’Brien   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he traded the accounts of several his…

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Robert W. Baird & Co. Fined $45,000 by Securities Regulators

Robert W. Baird & Co. Fined $45,000 by Securities Regulators 150 150 Rex Securities Law

Milwaukee, Wisconsin The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors by maintaining…

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