Ethan Baker Fired from Fidelity Brokerage Services

Ethan Baker (CRD #: 7053689), a broker formerly registered with Fidelity Brokerage Services, was fired from the firm, according to his BrokerCheck record, accessed on June 8, 2023. Read on if you have questions about his alleged conduct as a broker.

Termination from Fidelity Brokerage Services

On April 1, 2023, Ethan Baker was fired from Fidelity Brokerage Services after allegedly falsely recording that he had a certain type of client interaction that would make him eligible for compensation related to the client’s account.

The firm further alleged that he had not met the requirements for having this type of interaction.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Ethan Baker has passed the following exams:

• Series 66 – Uniform Combined State Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• Series 7TO – General Securities Representative Examination
• SIE – Securities Industry Essentials Examination

He previously worked for Fidelity Brokerage Services (CRD#:7784).

Kurta Law Can Help

If you worked with Ethan Baker 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.