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Did Dexter Baker Fail to Follow His Client’s Instructions?

Apr 29, 2022 Investor Disputes

Dexter Baker (CRD #: 2995602), a broker registered with MML Investors Services, is involved in an investor dispute, according to his BrokerCheck record, accessed on April 12, 2022. 

According to the allegations filed on January 29, 2022, Dexter Baker failed to follow his client's instructions by transferring the wrong amount of money out of the wrong variable annuity, resulting in a loss. The case is still pending.

FINRA Rule 2010

It is the duty of a broker to fulfill a customer's orders as quickly as possible in a manner that best serves the customer's interests. Failure to follow client instructions is a violation of FINRA Rule 2010, which requires all registered members to conduct their business dealings with high standards of commercial integrity and fairness.

You may be eligible to recover your investment losses if a broker fails to follow your instructions and/or execute your order promptly.

Background Information

Dexter Baker has passed the following exams:

  • SIE - Securities Industry Essentials Examination
  • Series 6 - Investment Company Products/Variable Contracts Representative Examination

He is a registered broker in Florida.

Besides MML Investors Services, Dexter Baker has also worked with the following firms:

  • MSI Financial Services (CRD#:14251)
  • AXA Advisors (CRD#:6627)
  • Valic Financial Advisors (CRD#:42803)
  • The Variable Annuity Marketing Company (CRD#:5081)
  • Public Employees Equities Services Company (CRD#:7315)
  • American General Financial Advisors (CRD#:42803)

Kurta Law Can Help

If you have worked with Dexter Baker and have concerns about your investments, don't hesitate to contact us today 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 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.