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 […]
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Tag Archives: Brian Lewis Baum
Customer Sues LPL Financial For REIT Suitability
May 17, 2018 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News, Non-traded REITs | 0 Comments