DAMIAN MARK BAIRD

01/31/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAMIAN M. BAIRD (CRD No. 3097243), Respondent. Disciplinary Proceeding No. 2023077669201 Hearing Officer–DRS AMENDED DEFAULT DECISION1 January 31, 2024 Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide information and documents and failing to appear for on-the-record testimony FINRA requested in connection with two investigations. Appearances For the Complainant: John M. Fallon, Esq., Elissa M. Kestin, Esq., and Jennifer L. Crawford, Esq., Department of Enforcement, Financial Industry Regulatory Authority For the Respondent: No appearance DECISION I. Introduction The Department of Enforcement filed a two-cause Complaint against Respondent Damian M. Baird, a former registered representative, alleging that he failed to provide information and documents, and failed to appear for on-the-record testimony FINRA requested under FINRA Rule 8210 as part of

09/29/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Damian M. Baird, CRD No. 3097243, Respondent Disciplinary Proceeding No. 2023077669201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In 2023, Respondent Damian M. Baird failed to provide information and documents and failed to appear for on-the-record testimony that FINRA requested pursuant to FINRA Rule 8210 as part of two separate FINRA investigations into his conduct. As a result, Baird violated FINRA Rules 8210 and 2010.

Reference 2023077669201data-portal.finra.orgdata-portal.finra.orgfinra.org