CHARLES THOMAS BAKER is currently employed as a Broker and/or Investment Adviser at GLOBAL ATLANTIC DISTRIBUTORS, LLC located at 16351 Lakefield Place Drive, Apartment A, WILDWOOD, MO, 63040.
CHARLES THOMAS BAKER has worked at GLOBAL ATLANTIC DISTRIBUTORS, LLC since June 09, 2014
Disclosure History
CHARLES THOMAS BAKER has 4 Disclosure Event(s).
Date: April 24, 2006 Category: Customer Dispute Allegations: CUSTOMER ALLEGES UNSUITABILITY IN CONNECTION WITH THE SALE OF MUTUAL FUNDS. Damage Amount Requested: $9,888.92 Settlement Amount: $11,861.55 Broker Comment: I DO NOT AGREE WITH THE CUSTOMERS' COMPLAINT. THE CLIENTS' HAD A DIVERSIFIED MUTUAL FUND PORTFOLIO WHICH DECREASED IN VALUE DURING THE 2001-2002 STOCK MARKET DECLINES. CUSTOMER IS DOCTOR WHO UNDERSTANDS THAT THE STOCK MARKET CAN BE VOLATILE. VOLATILITY AND RISK TOLERANCE WERE DISCUSSED AND EVALUATED BEFORE MAKING ANY INVESTMENT RECOMMENDATION OR DECISIONS.
Date: January 18, 2005 Category: Customer Dispute Allegations: CLIENT ALLEGES MISREPRESENTATION IN CONNECTION OF THE SALE OF MUTUAL FUNDS. Damage Amount Requested: $5,915.86 Broker Comment: I DO NOT AGREE WITH THE ALLEGATIONS MENTIONED IN THE COMPLAINT. FURTHERMORE, I HAVE BEEN SEPARATED FROM BANC ONE SECURITIES SINCE NOVEMBER OF 2003. CUSTOMER INVESTED MONEY INTO A GROWTH FUND DURING THE BEAR MARKET WHICH DECREASED IN VALUE LIKE MOST GROWTH FUNDS DID. I HAD SEVERAL CONVERSATIONS AND MEETINGS WITH HER TO DISCUSS THE RAMIFICATIONS OF SELLING A MUTUAL FUND AT A LOSS, HOLDING THE FUND THROUGH THE CYCLE, OR REPOSITIONING THE ASSETS INTO FIXED INCOME SECURITIES.
Date: May 23, 2003 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT REP FAILED TO DISCLOSE UPFRONT MUTUAL FUND FEES Damage Amount Requested: $11,803.37
Date: February 01, 2001 Category: Customer Dispute Allegations: CUSTOMER BELIEVES HER INVESTMENT IS UNSUITABLE FOR HER. Damage Amount Requested: $5,828.00 Settlement Amount: $5,640.00
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.
To view the full report for CHARLES THOMAS BAKER, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.