Thomas Baumann Has Multiple Investor Complaints and a FINRA Complaint – Goodman & Nekvasil, P.A. May Recover Investor Losses
Former SPARTAN CAPITAL SECURITIES, LLC broker, Thomas Baumann has multiple investor complaints and a FINRA Complaint.
THOMAS JAMES BAUMANN (CRD#: 5254392), a formerly registered broker for SPARTAN CAPITAL SECURITIES, LLC in New York, NY, has multiple investor complaints. According to Baumann’s FINRA BrokerCheck Report, the registered representative has three settled customer disputes and one customer dispute that was closed with no action.
FINRA staff was conducting an investigation into Baumann’s potentially unauthorized trading of equity securities between May 2021 and January 2022 in the account of one of his Spartan customers. The investigation resulted in a FINRA complaint.
THOMAS JAMES BAUMANN has Multiple Customer Disputes.
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to their clients.
St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors. The firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.
Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $400 million dollars on behalf of victimized investors.
We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.
There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained from FINRA on 4/16/24. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.