Kyle Baker Barred by FINRA
Kyle Baker (CRD #: 4933282) has been barred by FINRA. This disclosure appears on his BrokerCheck record, accessed on May 31, 2024. Keep reading if you have questions concerning his alleged conduct.
Regulatory Action
On April 8, 2024, Kyle Baker entered into an Acceptance, Waiver, and Consent agreement (AWC) in which he consented to the findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation.
You can read a copy of the AWC here.
FINRA Rule 8210
FINRA Rule 8210 requires members to supply records, information, and testimony upon request by FINRA.
Background Information
Kyle Baker 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
He previously registered with First Trust Portfolios L.P. (CRD #: 28519).
Kurta Law Can Help
If you have worked with Kyle Baker and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email 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 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. Do not let securities fraud go unchecked. Start your recovery process today.
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