Articles Posted in William Baum

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Baum (Baum), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Baum recommended unsuitable investments in different investment products including debt securities among other allegations…

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor William Baum (Baum), currently employed by Great American Investors, Inc. (Great American) was has been subject to at least eight customer complaints and one regulatory action during the course of his career.  According to records kept…