William Bryson Baum of Overland Park Kansas a stockbroker currently registered with Great American Investors Inc. is the subject of a customer initiated investment related arbitration claim which has been settled for $52,500.00 in damages supported by allegations that stock and options trades that were facilitated in the customer’s account by Baum failed to be…
William Bryson Baum, of St. Louis, Missouri, a stockbroker currently registered with Great American Investors, Inc., has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he engaged in unauthorized business communications with the firm’s customers and concealed his conduct…