Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Baumgold (Baumgold), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baumgold recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $591,000.00 on February 23, 2026.
Client alleges advisor failed to disclose asset liquidation would result in a taxable event.