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.