Were You a Victim of Equity Services, Inc. Broker Keith Baron?

There are options for customers of Equity Services, Inc. broker Keith Baron (CRD# 3231494) who suffered energy sector losses. He was registered with Equity Services, Inc. in Jericho, New York, from 2015 to 2022. He was previously registered with Park Avenue Securities LLC in Woodbury, New York, from 2011 to 2015 and with NYLife Securities LLC in Melville, New York, from 2009 to 2011, when he was terminated regarding “Mr. Baron was permitted to resign after the company initiated an internal review. The review was initiated based on an inquiry from an attorney, representing a New York Life customer, about the transfer of real property to Mr. Baron. The company was also reviewing whether Mr. Baron recommended unsuitable insurance products.”

Keith Baron Customer Complaints

He has been the subject of six customer complaints between 2007 and 2022, one of which was denied, and one was closed without action, according to his CRD report. The most recent complaint was regarding: 

November 2022. “Claimants allege that Keith Baron acted as a securities broker for NAEG to solicit investments for the sole purpose of misappropriating investor money.” The customer case is currently pending. The complaint took place while he was registered with Equity Services, Inc., and it was regarding oil and gas energy sector losses. 

Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Equity Services, Inc. may be liable for investment or other losses suffered by Keith Baron’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.