CARL HAYES HOLLIDAY

CARL HAYES HOLLIDAY is currently employed as a Broker and/or Investment Adviser at THE BAKER GROUP, LP located at 1601 NW EXPRESSWAY, SUITE 2000, OKLAHOMA CITY, OK, 73118-1426.

CARL HAYES HOLLIDAY has worked at THE BAKER GROUP, LP since April 27, 1979

Disclosure History

CARL HAYES HOLLIDAY has 1 Disclosure Event(s).

Date: September 04, 2002
Category: Customer Dispute
Allegations: ALLEGED EXCESSIVE TRADING FROM MARCH, 2001 TO AUGUST, 2002
Settlement Amount: $376,003.00

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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