Were you the victim of ThinkEquity LLC broker William Baquet (CRD# 1332676)? He has been registered with ThinkEquity LLC in New York, New York, since 1997.
In March 1997, the National Association of Securities Dealers, Inc. sanctioned him to pay a $5,000 monetary fine, according to the Acceptance, Waiver & Consent.
In May 2012, FINRA sanctioned him to pay a $5,000 monetary fine, according to the Acceptance, Waiver & Consent. According to his BrokerCheck, “As a member firm’s chief executive officer, Baquet was required to sign the chief executive officer certifications certifying the firm’s written compliance policies and written supervisory procedures, on behalf of the firm. Baquet failed to sign such certifications for the years 2008 and 2009.”
William Baquet Customer Complaints
He has been the subject of four customer complaints between 1990 and 2025, one of which was denied, according to his CRD report:
December 2025. “Claimant, an extremely sophisticated, experienced, high net worth investor alleges a suitability claim regarding one of his investments.” The customer is seeking $215,990 in damages, and the case is currently pending. The complaint was regarding common and preferred stock losses, and it took place while he was registered with ThinkEquity LLC.
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, ThinkEquity LLC may be liable for investment or other losses suffered by William Baquet’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.
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