Robert W. Baird complaint Archives

ER
May 5, 2022

Edmund “Eddie” Murphy- Former Robert W. Baird Discloses Customer Disputes – Naples, FL

Edmund “Eddie” Murphy- Former Robert W. Baird Discloses Customer Disputes – Naples, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g May 5, 2022 October 3, 2023

Edmund P. Murphy Investigation May 2022- Naples, FL According to publicly available records Edmund “Eddie” P. Murphy, a broker previously registered with Robert W. Baird & Co., discloses a final…

ER
April 1, 2022

Mark Kregor-Former Robert W. Baird Broker-Discloses Regulatory Sanctions, Prior Customer Disputes and a Termination -Louisville, KY

Mark Kregor-Former Robert W. Baird Broker-Discloses Regulatory Sanctions, Prior Customer Disputes and a Termination -Louisville, KY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 1, 2022 October 3, 2023

Mark Kregor Investigation March 2022- Louisville, KY The FINRA records of Mark F. Kregor, a broker with Stifel, Nicolaus & Company who formerly worked for Robert W. Baird, disclose a regulatory…

Robert Rex, Esq.
June 25, 2019

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 25, 2019 June 25, 2019

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 .…

Robert Rex, Esq.
November 23, 2015

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

Robert W. Baird & Co. Broker Sanctioned for Trading Without Approval https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 23, 2015 November 23, 2015

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…

Robert Rex, Esq.
November 16, 2015

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

Former Robert W Baird Broker -Franklin, TN, Barred From Securities Industry https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 16, 2015 November 16, 2015

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…