MICHAEL JEFFREY BAKER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/03/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS , DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL JEFFREY BAKER (CRD No. 2565823), Respondent. Disciplinary Proceeding No. 2014041664201 Hearing Officer-MAD DEFAULT DECISION February 3, 2015 Respondent is barred from associating with any member firm in any capacity for failing to respond to requests for information, in violation of FINRA Procedural Rule 8210 and Conduct Rule 2010. Appearances For Department of Enforcement
10/01/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Michael Jeffrey Baker (CRD No. 2565823), Respondent. DISCIPLINARY PROCEEDING No. 2014041664201 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In connection with an investigation concerning possible violations of the federal securities laws and/or FINRA rules, FINRA requested that Respondent Michael Jeffrey Baker ("Baker" or the "Respondent") provide
Reference 2014041664201data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2565823 |
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