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Harrison Bauman Allegedly Failed to Follow His Instructions

Harrison Bauman (CRD #: 5225710), a broker registered with Raymond James & Associates, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on April 4, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On January 19, 2024, an investor alleged that Harrison Bauman failed to follow her instructions to re-invest dividends from specified securities. The investor is seeking $220,000. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information 

Harrison Bauman has passed the following exams: 

  • Series 66 – Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

He is a registered broker in 23 states and D.C. He is a registered investment adviser in Florida, New Jersey, New York, and Texas. 

During his 12 years of experience, Harrison Bauman has registered with three firms: 

  • Raymond James & Associates (CRD #: 705) 
  • Morgan Stanley (CRD #: 149777) 
  • Hartfield, Titus & Donnelly (CRD #: 7117) 

Kurta Law Can Help 

If you have worked with Harrison Bauman and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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