Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Baumann (Baumann), previously associated with Spartan Capital Securities, LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Baumann recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on April 10, 2024.
Baumann was named a respondent in a FINRA complaint alleging that he failed to provide information and documents requested by FINRA in connection with its investigation of Baumann’s potentially unauthorized trading of equity securities in the account of a member firm customer