Raymond James & Associates, Inc. broker Ira Bauman (CRD# 1079115)is accused of stock losses. He has been registered with Raymond James & Associates, Inc. in New York, New York, since 2016. He was registered with Morgan Stanley in New York, New York, from 2009 to 2016.
Ira Bauman Customer Complaints
He has been the subject of three customer complaints between 2008 and 2024, one of which was denied, according to his CRD report. The most recent complaint was regarding:
January 2024. “Claimant alleges FAs failed to follow her instructions to re-invest dividends from specified securities.” The customer is seeking $220,000 in damages, and the case is currently pending. The complaint was regarding common and preferred stocks, and it took place while he was registered with Raymond James & Associates, Inc.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Raymond James & Associates, Inc. may be liable for investment or other losses suffered by Ira Bauman’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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