RedFlags, Allegations and Complaints against Janice Maria Baer
Disclosure #1 for Janice Baer
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- eventDate: 6/2/2000
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: CUSTOMER ALLEGES MS. MCMANUS, AN ASSISTANT BROKER TO MR. JOHN ELWIN, FACILITATED UNAUTHORIZED TRADING OF CLIENTS’ ACCOUNTS
- Damage Amount Requested: $264,988.47
- Settlement Amount: $36,000.00
- Arbitration Docket Number:
- Broker Comment: I WAS A SALES ASSISTANT TO THE BROKER JOHN ELWIN. I DID NOT IN ANY WAY FACILITATE UNAUTHORIZED TRADES. THE CLIENT SPOKE TO THE BROKER, THEN THE BROKER WOULD HAVE ME WRITE A TICKET, OR WRITE THE TICKET HIMSELF AND HAND IT IN TO THE TRADING DESK. TO THE BEST OF MY KNOWLEDGE, THE BROKER ALWAYS SPOKE TO THE CLIENT BEFORE EXECUTING A TRADE. THE BROKER IN QUESTION, JOHN ELWIN, LEFT THE FIRM IN AUGUST, 1998. I NO LONGER DEALT WITH THE CLIENT IN ANY WAY. I LEFT THE FIRM IN FEB. 1999. THE COMPLAINT WAS FILED IN JUNE 2000. I WAS NOT CONTACTED REGARDING THIS MATTER AND DID NOT RECEIVE ANY RESTRICTIONS OF ANY KIND.
Should I file a FINRA complaint against brokers like Janice Maria Baer?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Update – 2022.11.15If you have suffered investment losses that may have been caused by Janice Maria Baer’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!
Frequently Asked Questions About Janice Maria Baer
What is Janice Baer’s Central Registration Depository (CRD) Number?
Which firm is Janice Maria Baer associated with?
THE LEADERS GROUP, INC.
Where is Janice Baer located?
26 WEST DRY CREEK CIRCLE, LITTLETON, CO, 80120
Where can I find more details about Janice Baer’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/37157 to read a detailed report for THE LEADERS GROUP, INC.
Are there any disclosures, allegations or complaints filed against Janice Maria Baer?
Where can I download a detailed FINRA report for Janice Baer?
Is it safe to do business with Janice Maria Baer?
We’re not sure. Please research Janice Baer’s disclosures, allegations and complaints before taking a decision
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