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.

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer

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.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at

Tags: ,

No comments yet.

Leave a Reply

Name (required)

Email (will not be published) (required)