Steve Baptist, Financial Advisor Steve Baptist Suspended from Securities Industry

Steve Baptist, Financial Advisor Steve Baptist Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses

Steve Baptist CRD #5885870

Steve Baptist is a currently licensed financial advisor with PHX Financial, Inc. Steve Baptist was previously with Joseph Gunnar & Co. LLC. According to FINRA, Steve Baptist was suspended from the securities industry for 30 days and fined $5,000 in August 2019.

According to FINRA allegations:

Steve Baptist consented to the sanctions and to the entry of findings that Steve Baptist engaged in unauthorized trading by placing trades in customers’ accounts who were deceased at the time of the trades. The findings stated that Steve Baptist received $530 in commissions as a result of the trades in a customer’s account. Steve Baptist’s unauthorized trades in another customer’s account resulted in losses. The member firm repaid that customer’s estate for those losses from commissions withheld from Steve Baptist after his termination. The findings also stated that Steve Baptist exercised discretion in customers’ accounts without obtaining prior written authorization from the customers and his firm had not approved any of the accounts for discretionary trading.

Goodman & Nekvasil, P.A. May Recover Investor Losses:

If you lost money on investments with Steve Baptist 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 Steve Baptist’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 $180 million on behalf of victimized investors. If you lost money on investments with Steve Baptist 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. 

Steve Baptist, Investment Fraud Attorney, Stockbroker Misconduct Disciplinary Actions, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, PIABA, SEC, Securities Exchange Commission, NASD, National Association of Securities Dealers, NASDAQ, Dow Jones, Wall Street, New York Stock Exchange, Steve Baptist

 

 

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