Wes Baiz refused to provide documents and information requested by FINRA when it began an investigation into possible irregularities in certain documents pertaining to Norman’s customers.
The Sonn Law Group is investigating allegations that Wes Baiz committed misconduct. Under FINRA Rules, brokerage firms are liable for their brokers’ misconduct or negligence and investors may be able to their investment through FINRA arbitration. Contact Sonn Law Group today or call us at 866–827–3202 for a free consultation.
Wessam Baiz(CRD#:6501692) was barred by FINRA after refusing to submit documents and provide information requested by FINRA in order to further their investigation.
FINRA initiated their investigation after Baiz was terminated fromThe Huntington Investment Company in October 2018 based on allegations that Baiz failed to meet the terms and expectations of the Heightened Supervision Plan he was placed on by DAC for failure to disclose an outside business activity.
Prior to his employment with Huntington, Baiz was employed by MML Investors Services from 2015 until 2015.
Jeffrey R. Sonn is an experienced investor losses attorney. If you suffered losses because a financial professional committed acts in violation of FINRA Rules, Mr. Sonn will protect your rights and interests. Please do not hesitate to contact the Sonn Law Group today for a free review of your claim.