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.