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Daniel Baldwin Allegedly Misrepresented Corporate Bonds

Daniel Baldwin (CRD #: 2853392), a broker registered with Morgan Stanley, was the subject of a recent dispute, according to his BrokerCheck record, accessed on August 6, 2022. Keep reading if you want to know more about his conduct as a broker.

Investor Dispute

On May 25, 2022, an investor filed a dispute alleging Daniel Baldwin misrepresented corporate bonds the client purchased in 2021. This dispute was denied by the firm.

Investors should be aware, however, that firms can deny disputes without an external review. Investors may still be able to recover their funds by seeking out FINRA arbitration following a denial.

FINRA Rule 2020

The misrepresentation of information related to investments violates FINRA Rule 2020, which prohibits the use of manipulative, deceptive, and otherwise fraudulent tactics to influence the purchase and sale of securities.

Background Information

Daniel Baldwin has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Daniel Baldwin is a registered broker in 35 states and a registered investment adviser in California and Texas.

He previously worked for Morgan Stanley & Company (CRD#:8209) and UBS Financial Services (CRD#:8174).

Kurta Law Can Help

If you worked with Daniel Baldwin and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and 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. 

 

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