FINRA (NASD) Filings post the Closure of CMG’s Broker Dealer in 2007

NAC Disciplinary Decision – Complain No. 2005000879302 – finra

Shawn D. Baldwin. Chicago, IL,. Respondents. DECISION. Complaint No. 2008012026601. Dated: October 7, 2010. Respondents failed to respond to FINRA requests for information. Held, findings and sanctions affirmed. Appearances. For the Complainant: Pamela L. Shu, Senior Regional Counsel, Richard S. Schultz, …

[PDF]CMG Institutional Trading, LLC and Shawn D. Baldwin – SEC.gov

Jan 30, 2009 – CMG Institutional Trading, LLC (“CMG”), a former NASD member firm, 1/ and Shawn. D. Baldwin (collectively, the “Applicants”), the firm’s president and chief executive officer, seek review of NASD disciplinary action. 2/ NASD found that Applicants violated NASD Procedural. Rule 8210 and Conduct Rule …

FINRA – 2012 | FINRA Arbitration Awards | Center for Business and …

11-02886, 07/18/11, 07/09/12, In favor of Claimant, George Foster, CMG Institutional Trading, LLC; Shawn Derrick Baldwin, Cleveland, Ohio, Pro se, with wife, Pietra Foster at final hearing, Shawn Baldwin. Breach of fiduciary duty; Misrepresentation; Omission of facts; Breach of contract; Negligence, Debenture, $167,690.00 …
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