Nex Systems
Type not stated

DEAN BAKER

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/16/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DEAN BAKER (CRD No. 4493790)Respondent. Disciplinary Proceeding No. E072004052202 Hearing Officer - COMPLAINT Upon information and belief, Complainant alleges as follows: RESPONDENT 1. Respondent Dean Baker ("Baker") was first registered as a general securities representative in February 2002, while associated with former member L.H. Ross & Company, Inc. ("LH Ross"). Baker was employed by LH Ross until August 2004. He was

    06/28/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DEAN BAKER (CRD No. 4493790) Respondent. Disciplinary Proceeding No. E072004052202 Hearing Officer: SW ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 28, 2006 INTRODUCTION Disciplinary Proceeding No. E072004052202 was filed on May 17, 2006, by the Department of Enforcement of NASD ("Complainant"). Respondent Baker submitted an Offer of Settlement ("Offer") to Complainant on June 14, 2006. Pursuant to Code of Procedure Rule 9270

    Reference E072004052202data-portal.finra.orgdata-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/09/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DEAN BAKER (CRD No. 4493790) Respondent. Disciplinary Proceeding No. E072003109501 Hearing Officer - COMPLAINT Upon information and belief, Complainant alleges as follows: RESPONDENT Respondent Dean Baker ("Baker") was first registered as a general securities representative in February 2002, while associated with former member L.H. Ross & Company, Inc. ("LH Ross"). Baker was employed by LH Ross until August 2004. He was

    06/28/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DEAN BAKER (CRD No. 4493790) Respondent. Disciplinary Proceeding No. E072003109501 Hearing Officer: DRP ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 28, 2006 INTRODUCTION Disciplinary Proceeding No. E072003109501 was filed on December 9, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent Baker submitted an Offer of Settlement ("Offer") to Complainant on June 14, 2006.

    Reference E072003109501data-portal.finra.orgfinra.orgdata-portal.finra.org

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