Richfield Orion Advisor Charles Ron Baker Barred by FINRA

CASTLE ROCK, COLORADO

Are you a former or current customer of Richfield Orion International advisor Ron Baker from Castle Rock, Colorado?  Our Denver, Colorado-based securities arbitration firm is reviewing claims made by FINRA, against Charles Ron Baker.  Baker violated FINRA Rule 8210 by failing to respond to an investigation, which led to Baker being barred from the securities brokerage industry.

FINRA initiated an investigation regarding allegations of potentially unsuitable and discretionary trading in customer accounts.  Since Ron Baker did not respond to the investigation regarding the potentially unsuitable investments, FINRA barred him.

From May 2013 to June 2022, Charles Ron Baker held his securities license through Richfield Orion International.  Baker worked in a Castle Rock, Colorado office.  Baker had also been the subject of four customer complaints, the most recent of which was from 2003.

Pursuant to FINRA rules and most brokerage firms’ policies, an advisor cannot engage in discretionary trading without a written agreement from a customer.  Moreover, the trading must be suitable in light of the customer’s needs and wants.  If the trading violates these standards, the brokerage firm and/or advisor may be liable for financial damages that result from this trading.

Israels & Neuman is a Denver, Colorado-based securities arbitration and investment fraud law firm.  We represent investors throughout Colorado and throughout the country.

View Baker, c r BrokerCheck 6.16.22

View Baker, c r FINRA AWC

If you lost money with Ron Baker or Richfield Orion International, please Contact Us at 720-599-3505 or 206-795-5798 for a free evaluation of your case.