New York Securities Fraud Lawyers Blog
Malecki Law’s team of investment fraud attorneys are interested in hearing from investors who have complaints regarding broker Brett A. Baffa. Mr. Baffa was most recently licensed through NYLife Securities before being terminated by the firm, per industry records.
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. Baffa has been the subject of two employment separations after allegations and a regulatory inquiry.
Mr. Baffa’s FINRA records indicate that in 2006, Mr. Baffa was “discharged” by J.P. Turner & Co, LLC for “failure to follow principal’s instructions; use of unapproved correspondence that included price predictions.”