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FINRA Awards for James N. Baxter

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0399211/12/2014Claimant(s): Nicholas Owoyemi
Claimant Lawyers(s): Nicholas Adelani Owoyemi
Respondent(s): Merrimac Corporate Securities.
Respondent Lawyers(s): Bob Nash
Arbitrator(s): Pamela H. Roderick, James N. Baxter, Elizabeth Elster Granville
Hearing Site: New York, NY
10-0492810/15/2012Claimant(s): Michael Steifman
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Brian F. Amery
Arbitrator(s): Robert Pincus, James N. Baxter, Eugene G. P. Byrne
Hearing Site: New York, NY
Checkmark Icon$630,357
10-0161702/24/2011Claimant(s): Timothy Burnett
Claimant Lawyers(s): Timothy Burnett
Respondent(s): Dresdner Kleinwort Securities LLC
Respondent Lawyers(s): Kenneth J. Kelly
Arbitrator(s): James N. Baxter, Martin A. Edelstein, David Serko
Hearing Site: New York, NY

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