2022073772701 Keith C. Baron CRD 3231494 Complaint gg (2024-1705277998534).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
OFFICE OF HEARING OFFICERS
Department of Enforcement,
Complainant,
v.
Keith C. Baron,
CRD No. 3231494,
Respondent.
Disciplinary Proceeding
No. 2022073772701
COMPLAINT
The Department of Enforcement alleges:
SUMMARY
1. In 2016, Respondent Keith Baron recommended the purchase of Company A,
a financially troubled company, to two senior investors—Investor A and her husband, Investor
B.
Report From FINRA Board of Governors Meeting – December 2023
FINRA’s Board of Governors held its fifth and final meeting of the year on December 6-7. During the meeting, the Board approved two rule proposals and FINRA’s 2024 proposed budget , and continued discussions around FINRA’s financials, including expenses and the drawdown of reserves. The Board also appointed new members to the National Adjudicatory Council (NAC) and the Small Firm Advisory Committee (SFAC), and previewed the 2024 FINRA Annual Regulatory Oversight Report.
2023078422601 Eric V. Kubiak CRD 4637674 AWC gg (2024-1705191597484).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023078422601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Eric V. Kubiak (Respondent)
Former General Securities Representative
CRD No. 4637674
Pursuant to FINRA Rule 9216, Respondent Eric V. Kubiak submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2022075760701 Anna Schendra CRD 7395727 AWC gg (2024-1705191597450).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022075760701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Anna Schendra (Respondent)
CRD No. 7395727
Pursuant to FINRA Rule 9216, Respondent Anna Schendra submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2023078911001 Alexandria Bovee, aka Alexandria Montgomery CRD 7090353 AWC gg (2024-1705191597491).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023078911001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Alexandria Bovee, also known as Alexandria Montgomery (Respondent)
Former General Securities Representative
CRD No. 7090353
Pursuant to FINRA Rule 9216, Respondent Alexandria Bovee submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.