FINRA Awards for Robert H. Baker

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
18-01124	08/07/2019	Claimant(s): Richard Bodner Claimant Lawyers(s): Jason T. Albin Respondent(s): NYLife Securities LLC, William Mangano Respondent Lawyers(s): Russell Sayre, Steven G. Janik Arbitrator(s): William M. Getzoff, Robert H. Baker, Veronica A. Rice Hearing Site: Cleveland, OH		Expungement
13-03758	08/06/2015	Claimant(s): Alexander Walbridge Rumpf, Nancy Cornell Rumpf, Samuel Thayer Rumpf Claimant Lawyers(s): William R. Lindsley Respondent(s): Carter Smith, Jeffrey Catlin, Jeffrey Smith, UBS Financial Services Inc. Respondent Lawyers(s): David I. Hantman Arbitrator(s): Jeffrey M. Bain, Harvey Michael Rosenberg, Robert H. Baker Hearing Site: Cleveland, OH		Expungement