Did you lose money investing with Oppenheimer & Co. Inc. broker Steven Baaden (CRD# 1266766)? Baaden has been registered with Oppenheimer & Co. Inc. in Los Angeles, California since 2013.
Baaden has been the subject of seven customer complaints between 1988 and 2021, according to his CRD report. The most recent complaint is regarding:
February 2021. “Customer asserts claims for unsuitability, fraud, breach of contract and breach of fiduciary duty in connection with his investments. From 4/1/2014 to Present.” The case is currently pending. The complaint is regarding common and preferred stocks.
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, Oppenheimer & Co. Inc. may be liable for investment or other losses suffered by Baaden’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.