Financial Industry Regulatory Authority (FINRA) charged securities broker Thomas James Baumann [CRD: 5254392, New York, New York] with violating FINRA rules on hindering investigations, according to disclosures on BrokerCheck. Not only that, but Spartan Capital Securities LLC investors complained about his sales practices. Evidently, Thomas Baumann worked for Spartan Capital Securities from January 22, 2013, […]