Last Updated: November 2023 (Louisville, KY)
Kenneth Baize Investigation Summary
Here’s what you need to know about Louisville, KY, stockbroker Kenneth Baize:
- Name: Mr. Kenneth Gene Baize
- Current Employer: LPL Financial
- DBA: Wealthline Financial Advisor
- Previous Firms: American Equity Investment Corp., Waddell & Reid
- Function: Stock Broker/ Financial Advisor/Registered Investment Advisor
- Aliases: Ken Gene Baize, Kenny Baize
- Primary Location: Louisville, KY
- CRD 5713738
- Can Kenny Baize be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement or Award: $68,317
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Kenneth Baize As Your Stockbroker?
In 9/2023 a customer of American Equity Investment Corp was paid $68,317 to settle a FINRA arbitration alleging that Kenny Baize recommended an investment in GWG L-Bonds. GWG filed for Chapter 11 bankruptcy in 4/2022.
Allegations of Broker Misconduct Against Kenneth Baize
A customer of Kenny Baize alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation to invest in GWG L-Bonds
See this for other investigations involving GWG Bonds
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.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Kenneth Baize, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
