Brian Lewis Baum of Longmont Colorado a stockbroker currently registered with LPL Financial LLC is the subject of a customer initiated investment related arbitration claim which settled for $19,500.00 in damages based upon allegations that the customers were placed into unsuitable energy limited partnership, business development group and real estate security transactions. Financial Industry Regulatory Authority (FINRA) Arbitration No. 1602606 (June 19, 2017).
FINRA Public Disclosure reveals that on January 20, 2000, a customer initiated investment related civil action involving Baum’s activities was resolved for $10,000.00 in damages supported by accusations of breach of contract, deceptive trade practices, breach of fiduciary duty, concealment and misrepresentation.
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