2023077669201 Damian M. Baird CRD 3097243 Complaint lp (2023-1698625207516).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
OFFICE OF HEARING OFFICERS
Department of Enforcement, Complainant, v. Damian M. Baird,
CRD No. 3097243, Respondent
Disciplinary Proceeding No. 2023077669201
COMPLAINT
The Department of Enforcement alleges:
SUMMARY
1. In 2023, Respondent Damian M. Baird failed to provide information and documents and failed to appear for on-the-record testimony that FINRA requested pursuant to FINRA Rule 8210 as part of two separate FINRA investigations into his conduct. As a result, Baird violated FINRA Rules 8210 and 2010.
SEC, MSRB, FINRA to Hold Virtual Compliance Outreach Program
The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual Compliance Outreach Program for municipal market professionals. The free webcast is open to the public and will take place on Thursday, December 7, 2023, from 10:30 a.m. to 4:30 p.m. ET.