Nicholas Gregory Baecker (Nicholas Baecker) – Broker Nicholas Baecker Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses
Nicholas Baecker was a previously licensed broker with Thrivent Investment Management, Inc. According to FINRA, Nicholas Baecker was suspended for four months and fined $5,000 in December 2020.
According to FINRA Allegations:
Between April 2016 and September 2018, Baecker electronically forged sixteen firm customers’ signatures on life insurance applications, in violation of FINRA Rule 2010. Eleven of the forged documents were firm records required to be made and preserved in accordance with FINRA Rules and Exchange Act Rules. As a result, Baecker also violated FINRA Rules 4511 and 2010 by causing the Firm to maintain inaccurate books and records.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Nicholas Baecker and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Nicholas Baecker’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $200 million on behalf of victimized investors. If you lost money on investments with Nicholas Baecker and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
Some of the information in this blog post was obtained on 12/11/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.