THOMAS JAMES BAUMANN

09/20/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. THOMAS J. BAUMANN (CRD No. 5254392), Respondent. Disciplinary Proceeding No. 2018056490310 Hearing Officer–MC DEFAULT DECISION September 20, 2024 Respondent Thomas J. Baumann is barred from associating with any FINRA member firm in any capacity for failing to provide documents and information requested in connection with a FINRA investigation, in violation of FINRA Rules 8210 and 2010. Appearances For the Complainant: Michael Dorfman-Gonzalez, Esq., Kay Lackey, Esq., and Adam Balin, Esq., Department of Enforcement, Financial Industry Regulatory Authority For the Respondent: No appearance DECISION I. Introduction FINRA staff twice requested that Respondent Thomas J. Baumann provide documents and information related to an investigation. When Baumann did not comply with the requests, the Department of Enforcement issued a Complaint charging him with violating FINRA Rules 8210 and 2010. Enforcement proper

04/10/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Thomas J. Baumann (CRD No. 5254392), Respondent. Disciplinary Proceeding No. 2018056490310 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Thomas J. Baumann (“Baumann”) failed to provide information and documents that FINRA requested pursuant to FINRA Rule 8210 as part of its investigation into whether Baumann engaged in unauthorized trading in the account of a customer. As a result, Baumann violated FINRA Rules 8210 and 2010.

Reference 2018056490310data-portal.finra.orgdata-portal.finra.orgfinra.org