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Keith Baron Embroiled in Dispute Alleging Misappropriation

Keith Baron (CRD #: 3231494), a broker formerly registered with Equity Services, is the subject of a pending dispute, according to his BrokerCheck record, accessed on January 25, 2023. Keep reading if you have questions about his alleged conduct as a broker.

Investor Disputes

In a dispute filed on November 22, 2022, several investors alleged that Keith Baron, acting as a broker for the North American Educational Group (NAEG), solicited investments in order to misappropriate investors’ funds. This dispute is currently pending.

On July 22, 2019, an investor named Keith Baron, Prudential Life Insurance, and The Entrust Group in a dispute alleging fraud. The client alleged that this fraud involved moving assets from annuity and life insurance products into another investment sponsored by Prudential. The investor sought $425,000 in damages but the dispute was denied.

Investors should be aware, however, that firms can deny disputes without an outside review. Investors may still be able to recoup their losses by pursuing FINRA arbitration after a denial.

FINRA Rule 2150

FINRA Rule 2150 prohibits brokers from misusing investors’ funds.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Keith Baron has passed the following exams:

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

He previously worked for the following firms:

  • Equity Services (CRD#:265)
  • Park Avenue Securities (CRD#:46173)
  • NYLIFE Securities (CRD#:5167)
  • BrokersXpress (CRD#:127081)
  • S.G. Martin Securities (CRD#:46908)
  • Fin-Atlantic Securities (CRD#:25523)
  • Baxter Banks & Smith (CRD#:40771)

Kurta Law Can Help

If you worked with Keith Baron and you have concerns about your investments, contact a New York investment fraud lawyer today for a free case evaluation. Call (877) 600-0098 or email

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.