Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Baaden (Baaden), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Baaden recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on February 03, 2021.
Customer asserts claims for unsuitability, fraud, breach of contract and breach of fiduciary duty in connection with his investments.From 4/1/2014 to Present