LONGMONT, COLORADO
Have you lost money with financial advisor Monica Baldwin, with Raymond James Financial in Longmont, Colorado? We are looking into allegations made against Monica Baldwin. Baldwin and her brokerage firm, Raymond James Financial, were the subject of a FINRA arbitration claim, where a customer alleged Baldwin overconcentrated their accounts in energy investments, including InterOil Corp., Halliburton, QEP RES, Synergy Res, Oasis Petroleum, Wildhorse Resource, Continental Resources, and Pioneer Natural Resources. An arbitration panel found in favor of the investors and ordered Raymond James Financial and Baldwin to pay $165,000.
Monica Baldwin has been with Raymond James Financial from 2003 to the present. She has worked at branch offices in Longmont, Colorado.
Brokerage firms like Raymond James Financial have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Colorado. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Raymond James Financial.
Click here to view Monica Baldwin BrokerCheck Report
If you lost money with Monica Baldwin or Raymond James Financial, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.