KEITH CRAIG BARON

12/14/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Keith C. Baron, CRD No. 3231494, Respondent. Disciplinary Proceeding No. 2022073772701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In 2016, Respondent Keith Baron recommended the purchase of Company A, a financially troubled company, to two senior investors—Investor A and her husband, Investor B. In connection with his recommendations, Baron made misrepresentations to Investors A and B regarding Company A’s prospects and also concealed from Investors A and B that he had a consulting agreement with Company A that entitled him to receive payments after Company A obtained funding. Based on Baron’s recommendations, Investors A and B invested over $350,000 in Company A. 2. In 2018 and early 2019, Baron separately misrepresented to Investors A and B that Company A intended to buy back Investors A and B’s shares.

01/15/2025: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KEITH C. BARON (CRD No. 3231494), Respondent. Disciplinary Proceeding No. 2022073772701 Hearing Officer–RES EXTENDED HEARING PANEL DECISION January 15, 2025 Respondent Keith C. Baron is barred from associating in any capacity with any FINRA member firm for omitting material information and making misrepresentations to two investors in violation of FINRA Rule 2010, making misrepresentations to his employer firm in violation of FINRA Rule 2010, and making misrepresentations to FINRA in violation of FINRA Rules 2010 and 8210. The Extended Hearing Panel would also impose fines and suspensions for Baron’s pursuit of an outside business activity without notice to his employer firm, and for his participation in private securities transactions without prior notice to his employer firm, but the Panel declines to impose these sanctions in light of the bars imposed for Baron’s other misconduct. For pursuing an o

Reference 2022073772701data-portal.finra.orgfinra.orgdata-portal.finra.org

02/14/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. S.G.MARTIN SECURITIES LLC (BD No. 46908) 366 NORTH BROADWAY, SUITE 408 JERICHO, NY 11753; EMANUEL PANTELAKIS (CRD No. 3074986) PAUL M. GIARMOLEO (CRD No. 2096430) KEITH C. BARON (CRD No. 3231494) Respondents. DISCIPLINARY PROCEEDING NO. 2005000191701 HEARING OFFICER: SW AMENDED COMPLAINT SUMMARY 1. This Complaint charges S.G. Martin Securities LLC, Emanuel Pantelakis, Paul M. Giarmoleo, and Keith C. Baron with

12/26/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. S.G. MARTIN SECURITIES LLC (BD No. 46908) 366 NORTH BROADWAY, SUITE 408 JERICHO, NY 11753; EMANUEL PANTELAKIS (CRD No. 3074986) PAUL M. GIARMOLEO (CRD No. 2096430) KEITH C. BARON (CRD No. 3231494) Respondents. DISCIPLINARY PROCEEDING No. 2005000191701 HEARING OFFICER: COMPLAINT SUMMARY 1. This Complaint charges S.G. Martin Securities LLC, Emanuel Pantelakis, Paul M. Giarmoleo, and Keith C. Baron with

Reference 2005000191701data-portal.finra.orgdata-portal.finra.orgfinra.org

01/09/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011029207301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Keith Craig Baron, Respondent Registered Representative CRD No. 3231494 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Keith Craig Baron ("Baron") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

Reference 2011029207301data-portal.finra.orgfinra.org

02/11/2025: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KEITH C. BARON (CRD No. 3231494), Respondent. Disciplinary Proceeding No. 2022073772701 Hearing Officer–RES EXTENDED HEARING PANEL DECISION January 15, 2025 Respondent Keith C. Baron is barred from associating in any capacity with any FINRA member firm for omitting material information and making misrepresentations to two investors in violation of FINRA Rule 2010, making misrepresentations to his employer firm in violation of FINRA Rule 2010, and making misrepresentations to FINRA in violation of FINRA Rules 2010 and 8210. The Extended Hearing Panel would also impose fines and suspensions for Baron’s pursuit of an outside business activity without notice to his employer firm, and for his participation in private securities transactions without prior notice to his employer firm, but the Panel declines to impose these sanctions in light of the bars imposed for Baron’s other misconduct. For pursuing an o

Reference 202207377270data-portal.finra.orgfinra.org