DID THOMAS JAMES BAUMANN CAUSE YOU INVESTMENT LOSSES?

Thomas Baumann Formerly With Spartan Capital Securities, LLC Has 6 Customer Complaints For Alleged Broker Misconduct

Who is Thomas Baumann formerly with Spartan Capital Securities, LLC?

Thomas Baumann (CRD #5254392) who was formerly registered with Spartan Capital Securities, LLC and located in New York, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Spartan Capital Securities, LLC, Thomas Baumann was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Investment Losses? Let’s talk.

or, give us a ring at (800) 732-2889.

Thomas Baumann Customer Complaints

Thomas Baumann has been the subject of 6 customer complaints that we know about to recover investment losses. Spartan Capital Securities settled 3 of the customer complaints in favor of the investors. Thomas Baumann’s former employers denied the other two customer complaints and the customers took no further action. There is currently one customer complaint pending.

Allegations Against Thomas Baumann

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

Unauthorized trading.
Misrepresentation related to a Citicorp investment.
Unauthorized use of margin customer’s account.
Churning, unsuitable transactions, misrepresentation, and breach of fiduciary duty.
Misrepresentations and unsuitable recommendations.
Unsuitable unauthorized investments, negligence, misrepresentation and breach of fiduciary duty.

Thomas Baumann Red Flags & Your Rights As An Investor

Of course, Thomas Baumann did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Thomas Baumann at Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Thomas Baumann has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Spartan Capital Securities, LLC Due To Thomas Baumann

If you have questions about Spartan Capital Securities, LLC and/or Thomas Baumann and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

Thomas Baumann formerly with Spartan Capital Securities, LLC