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FINRA Awards for Scott Baker

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Case Number Award Date Case Summary Customer Case? Amount Granted
23-0032112/06/2023Claimant(s): Scott Baker
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Michael J Norton
Hearing Site: Denver, CO
10-0400911/28/2011Claimant(s): David Campbell, Lu Ann Davis
Claimant Lawyers(s): Lance C. McCardle
Respondent(s): David Niederkrome, John Jessum, Scott Baker, Stephen Rodgers
Respondent Lawyers(s): David Gaba
Arbitrator(s): Mark C. Watler, James E. Bolin, Eric M. Schorr
Hearing Site: New Orleans, LA
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