10.0David P Neuman
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WARNING! Impending Investigation: PATRICK L. GARRETT and ROBERT W. BAIRD & CO.

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04
Aug

WARNING! Impending Investigation: PATRICK L. GARRETT and ROBERT W. BAIRD & CO.

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Patrick L. Garrett and Robert W. Baird & Co.

Have you lost money with financial advisor Patrick Garrett of Nashville, Tennessee?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Patrick Garrett. FINRA barred Garrett from the securities industry regarding allegations that he verbally overstated the value of an account, which hid trading losses.  Garrett was also alleged to purchased shares of one company on behalf of a couple from another of his customers, at a price that was $3 above the market value, causing the couple to lose about $34,000.

Patrick Garrett was a financial advisor and registered representative of Robert W. Baird & Company from 2000 to February 2014.  He worked at a branch office in Nashville, Tennessee.  According to Garrett’s BrokerCheck report, he has been the subject of two customer complaints.

Brokerage firms like Robert Baird 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 and the Seattle area.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Tennessee. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond Patrick, ProEquities, Securities America, National Securities Corp., and many others.

 

If you lost money with Patrick Garrett or Robert Baird, please Contact Us at 720-599-3505 for a free evaluation of your case.

 

Click to view:  Garrett FINRA AWC

Click to view:  Garrett BrokerCheck 8.4.15

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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