Thomas James Baumann, formerly registered with Spartan Capital Securities LLC in New York, was barred by Financial Industry Regulatory Authority (FINRA) on October 15, 2024. This decision resulted from Baumann’s failure to provide documents and information requested during an investigation into potentially unauthorized and excessive trading in customer accounts. Financial Industry Regulatory Authority Department of…
Thomas James Baumann, of New York, New York, a stockbroker previously registered with Spartan Capital Securities LLC, is the subject of an enforcement action initiated by the Financial Industry Regulatory Authority (FINRA), where the regulator is seeking sanctions against Baumann based upon allegations that Baumann failed to comply with an investigation into allegations of his…