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Jorge Baquero Subject of a FINRA Suspension

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
September 27, 2023 at 8:39pm

Jorge Baquero (CRD #: 6847919) has been suspended by FINRA, according to his BrokerCheck record, accessed on September 27, 2023. If you have questions about his suspension, keep reading. 

On August 14, 2023, FINRA suspended Jorge Baquero following allegations that failed to comply with an arbitration award or settlement agreement, or failed to satisfactorily respond to a FINRA request for information concerning the status of his compliance. The suspension began on August 14, 2023, and will continue until the required payment is made or discharged. 

You can read a copy of the Award here. 

FINRA Rule 9552

FINRA Rule 9552 states that members who fail to provide documents, information, or testimony requested by FINRA will be suspended. Members who fail to request an end to their suspension within three months are permanently barred.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failing to comply with an arbitration award may violate this rule.

Background Information 

Jorge Baquero has passed the following exams: 

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

Jorge Baquero has registered with one firm during his five years of experience: Spartan Capital Securities (CRD #: 146251). 

Kurta Law Can Help

If you worked with Jorge Baquero and 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 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.

 

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