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Eric Baron Of Spartan Capital Securities And Formerly With Laidlaw Company (UK) Ltd. and SW Financial Has 4 Customer Complaints For Alleged Broker Misconduct

Who is Eric Baron of Spartan Capital Securities?

Eric Baron (CRD #2758724) who is currently registered with Spartan Capital Securities and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Spartan Capital Securities, Eric Baron was associated with Laidlaw Company (UK) Ltd., SW Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Eric Baron Customer Complaints

Eric Baron has been the subject of 4 customer complaints that we know about.  All of Eric Baron’s 4 customer complaints were settled in favor of investors.

Allegations Against Eric Baron

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Eric Baron allegedly engaged in churning and made unsuitable investment recommendations.
  • Churning, negligence, unsuitability, unauthorized trading, breach of contract allegedly by Eric Baron.
  • Claimant alleged excessive trading and unsuitable transactions, negligence, breach of contract and fiduciary duty by Eric Baron.

Eric Baron Red Flags & Your Rights As An Investor

Of course, Eric Baron did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Eric Baron at Spartan Capital Securities, Laidlaw Company (UK) Ltd., and SW Financial on alert to review carefully the activity and performance of their accounts and question whether Eric Baron has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities, Laidlaw Company (UK) Ltd., and SW Financial also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Spartan Capital Securities Due To Eric Baron

If you have questions about Spartan Capital Securities, Laidlaw Company (UK) Ltd., SW Financial, and/or Eric Baron and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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