Ari M. Baum, of New York, New York, a stockbroker formerly registered with Morgan Stanley Smith Barney, has been subject to a customer initiated investment related arbitration claim on April 5, 2016, in which the customer requested $1,285,000.00 in damages based upon allegations that unsuitable corporate debt investments were effected by Baum in the customer’s account.
Public Disclosure records reveal that on September 16, 2014, Morgan Stanley terminated Baum based on allegations that Baum altered the contents contained in e-mail correspondence pertaining to a banking transaction which was delayed. Since October of 2014, Baum has been registered with Prospera Financial Services, Inc.
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
