Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 25, 2017 indicate that former Arizona-based Merrill Lynch broker/adviser Jesse Baker has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Baker (CRD# 6623314).
Jesse Baker has spent one year in the securities industry and was most recently registered with Merrill Lynch in Chandler, Arizona (2016-2017). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 21, 2016, and Series 7 (General Securities Representative Examination), which he obtained on April 12, 2016. He is currently not registered with any state or firm.
According to his BrokerCheck report, he was recently discharged from his former employer and sanctioned by FINRA in connection to alleged rule violations.
In October 2017 FINRA sanctioned Jesse Baker following allegations he failed to respond to a FINRA request for information. He was issued an indefinite suspension from acting as a broker which will continue “until the required information is provided to FINRA or the suspension converts to a bar.”
In July 2017 he was terminated from his position at Merrill Lynch following allegations he participated in behavior, unconnected to Merrill Lynch customers or accounts, that was “inconsistent with Firm standards” concerning personal bank accounts.
If you or someone you know has lost money investing with Jesse Baker, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.