Oppenheimer Advisor Steve Baaden Has History of Investor Complaints
Steve Baaden (CRD #: 1266766), a broker registered with Oppenheimer & Co., is involved in a dispute regarding unsuitable recommendations, according to his BrokerCheck record, accessed on January 10, 2022. This is not his first investor dispute. Pending Fraud Allegation On February 3, 2021, an investor alleged that Baaden recommended unsuitable investments and engaged in […]
$2 Settlement Reached in Case Involving Merrill Lynch Advisor Jason Tarver
Jason Tarver (CRD #: 2569913), a broker registered with Merrill Lynch, Pierce, Fenner, & Smith, was involved in a dispute that settled for $2 million, according to his BrokerCheck record, accessed on January 10, 2022. Investors Case Against Merrill Lynch Settled for $2 Million On December 30, 2020, an investor alleged that Jason Tarver recommended […]