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FINRA Awards for Neal D. Baker

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0106302/11/2013Claimant(s): Wexco Industries
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Christina R. Ryfa
Arbitrator(s): Alan Shaw, Barbara Weisman, Neal D. Baker
Hearing Site: Newark, NJ
Checkmark IconExpungement
04-0523503/13/2009Claimant(s): The Frazier Family Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Citigroup Global Markets., Jack B. Grubman
Respondent Lawyers(s): David A. Travin
Arbitrator(s): Neal D. Baker
Hearing Site: Cincinnati, OH
Checkmark Icon$0

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