Advisor Alert: Our Attorneys Are Investigating Monica Mary Baldwin For Investment Fraud
Did You Lose Money Because of Monica Baldwin?
Filed: January 24, 2024
Monica Baldwin (also known as Monica Sullivan) has been the subject of two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on Monica Mary Baldwin.
Who Is Monica Mary Baldwin of Raymond James Financial Services, Inc. and Raymond James Financial Services Advisors, Inc.?
- Advisor Name: Monica Mary Baldwin
- Aliases: Monica Mary Sullivan
- CRD: 1410593
- Location: Longmont, Colorado
- Current Employer: Raymond James Financial Services, Inc. and Raymond James Financial Services Advisors, Inc.
- Previous Firms: Citigroup Global Markets Inc.
- Number of Known Customer Complaints: 2
- Can Monica Baldwin Be Sued: Yes, in Private Arbitration
- Can Monica Baldwin’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: $4,000,000
- Highest Settlement: $9,999
If you have suffered investment losses by Monica Baldwin, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a failure to supervise lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against Monica Baldwin For Broker Misconduct
As of this publication date, Monica Baldwin has been the subject of 2 customer disputes. Let’s review them below.
In September 2019, a FINRA arbitration was filed against or in reference to Monica Baldwin by a customer of Raymond James Financial Services, Inc. alleging negligence, failure to supervise, breach of contract, breach of the duty of good faith and fair dealing, breach of fiduciary duty, suitability and overconcentration. Per the customer, he/she lost over $4,000,000 because of Ms. Baldwin’s actions. An arbitration panel found that Monica Baldwin was negligent and awarded $165,000 in favor of the customers.
In May 2010, a complaint was filed against or in reference to Monica Baldwin by a customer of Raymond James Financial Services, Inc. alleging damages related to a whole life insurance policy used to fund a life insurance trust the client purchased through Ms. Baldwin. Per the customer, she lost over $120,000 because of Ms. Baldwin’s actions. On August 31, 2010, Ms. Baldwin settled the claim for $9,999.
How To File A Claim Against Monica Baldwin of Raymond James Financial Services, Inc. and Raymond James Financial Services Advisors, Inc. (previously with Citigroup Global Markets Inc.) To Get Your Money Back
If you have questions about Monica Baldwin, Raymond James Financial Services, Inc, Raymond James Financial Services Advisors, Inc., Citigroup Global Markets Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.