Christopher Baugh Fired by Raymond James

Christopher Baugh (CRD #: 3250943), a previously registered broker with Raymond James Financial Services, has been terminated by Raymond James Financial Services. This is according to his BrokerCheck record, accessed on April 10, 2024. Keep reading if you have questions about his alleged conduct. 

Employment Separation After Allegations 

On March 11, 2024, Raymond James Financial Services fired Christopher Baugh following allegations that he engaged in conduct inconsistent with firm policies applicable to outside business activities. 

Outside Business and Selling Away

FINRA Rule 3270 requires brokers to inform their firm of any outside business activities or any investments sold away from the firm. The brokerage firm may prohibit the activity if the firm believes the proposed activity may compromise the broker’s duties. Firms may also require brokers to seek approval of any outside business.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 3270 also violate this rule. 

Background Information 

Christopher Baugh has passed the following exams: 

• Series 66 Uniform Combined State Law Examination
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination 
• Series 10 General Securities Sales Supervisor – General Module Examination
• Series 9 General Securities Sales Supervisor – Options Module Examination 

During his 23 years of experience, Christopher Baugh has registered with two firms: Raymond James Financial Services (CRD #: 6694) and A.G. Edwards & Sons (CRD #: 4). 

Kurta Law Can Help 

If you have worked with Christopher Baugh and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.