Robert Baker: $300K Complaint Against Ex-Stirlingshire Advisor

Mission Viejo, California financial advisor Robert Baker (CRD# 2878972) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Colorado Financial Service Corporation, doing business as Matrix Equity Capital.

Mr. Baker’s BrokerCheck report discloses multiple investor complaints. The most recent, filed in March 2026, alleges that as a representative of Stirlingshire Investments, he misrepresented and recommended unsuitable investments. The pending complaint alleges damages of $300,000.

In a statement included with the complaint’s disclosure, Mr. Baker defended himself against the allegations. “Client was an accredited investor executing transactions in accordance with his stated risk tolerance and investment objectives,” he wrote. “I intend to vigorously defend against these claims.”

An earlier investor complaint, filed in 1999, alleged that as a representative of InterFirst Capital, he made unauthorized trades. The complaint reached a settlement of $3,000.

For reference, FINRA Rule 2020 stipulates that financial advisors at FINRA member firms must not “effect any transaction in, or induce the purchase or sale of, any security by means of any manipulative, deceptive or other fraudulent device or contrivance.” What this means is that brokers are forbidden from making misrepresentations of material information—that is, information posing a significant consideration for investors weighing a particular investment product or strategy—related to their recommendations. Brokers who make misrepresentations may be held liable for damages in the event that an investment suffers losses, or they may even be held subject to disciplinary action by securities regulators.

According to the Financial Industry Regulatory Authority, Robert Baker holds 28 years of securities industry experience. Based in Mission Viejo, California, he has been registered as a broker and an investment advisor with Colorado Financial Service Corporation since 2025, doing business as Matrix Equity Capital. His past registrations include Stirlingshire Investments, TradingBlock, Sunstreet Securities, BrokersXPress, Wedbush Morgan Securities, Quest Capital Strategies, Brookstreet Securities Corporation, InterFirst Capital Corporation, and Income Network Company. His credentials include the passage of five securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Investment Adviser Law Examination, or Series 65; the Uniform Securities Agent State Law Examination, or Series 63; the General Securities Principal Examination, or Series 24; and the General Securities Representative Examination, or Series 7. He is licensed in California and Colorado. (Information current as of May 4, 2026.)

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