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.
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