Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Baker (Baker), currently associated with Cambridge Investment Research, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Baker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on November 22, 2024.
Claimant is the estate of RR’s mother, which is being administered by the RR’s estranged sister. After RR contested the will, Claimant (through sister) alleged that RR did not file requested change of beneficiary forms for his mother’s brokerage accounts.
