ERIC SCOTT BARON is currently employed as a Broker and/or Investment Adviser at SW FINANCIAL located at 1295 Walt Whitman Rd., Suite A, Melville, NY, 11747.
ERIC SCOTT BARON has worked at SW FINANCIAL since December 01, 2015
ERIC SCOTT BARON has 4 Disclosure Event(s).
Date: April 03, 2018 Category: Customer Dispute Allegations: Churning, negligence, unsuitability, unauthorized trading, breach of contract Damage Amount Requested: $55,048.00 Broker Comment: The RR denies all allegations against him. He was not the broker on the account.
Date: April 17, 2017 Category: Customer Dispute Allegations: Churning, Unsuitable investments Damage Amount Requested: $29,389.00 Broker Comment: I deny all the claims made against me. The client was never my customer. I never had contact with the client. The account was placed in my rep code only after the client closed his account.
Date: September 22, 2003 Category: Employment Separation After Allegations Firm Name: CARDINAL CAPITAL MANAGEMENT Termination Type: Voluntary Resignation Allegations: BRANCH MANAGER ALLEGES THAT ON 9/22/2003 REP STOLE PRIVATE CLIENT INFORMATION AND LEAD CARDS WHILE THE MANAGER WAS OUT SICK. Broker Comment: I FULLY DENY THESE ALLEGATIONS. I TOOK ONLY MY OWN PERSONAL PROPERTY FROM MY DESK WHEN I LEFT THE FIRM.
Date: April 06, 1999 Category: Customer Dispute Allegations: FRAUD, UNAUTHORIZED TRADING,MISREPRESENTATION, FAILURE TO EXECUTE SELL ORDERS AND BREACH OFFIDUCIARY DUTY. ALLEGED DAMAGES OF $166,098 PLUS PUNITIVEDAMAGES AND LEGAL COSTS. Damage Amount Requested: $166,098.00 Settlement Amount: $80,000.00 Broker Comment: N/ANOT PROVIDED
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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.
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