Ryan R. Baker
Ryan Baker primarily represents Financial Industry Regulatory Authority (FINRA) registered brokerage firms and associated persons in disputes with customers, firms and regulators through litigation and alternative dispute resolution (ADR) proceedings, having assisted in more than 180 arbitration proceedings. In addition to handling all aspects of broker-dealer cases, Ryan also represents clients in the financial services industry on a range of matters related to customer disputes, competition and employment claims.
Memberships
American Bar Association
Tennessee Bar Association
The Florida Bar
Representative Experience
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Represented Morgan Keegan in obtaining dismissal of customer claims against the firm in a FINRA arbitration, then successfully argued before the Tennessee Court of Appeals to have the zero award reinstated after it had been vacated by the local Chancery Court
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Successful representation of Securities Service Network and one of its investment advisory representatives in obtaining dismissal of customer claims against the firm, first in a FINRA arbitration and then in a state court action
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Successful representation of Century Securities in a FINRA arbitration involving claims of unsuitably risky and inappropriate investment recommendations to the former trustee of a trust account
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Successful representation of Al Frank Asset Management and its Chief Investment Officer in an AAA arbitration involving claims of breach of fiduciary duty and improper use of margin
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Successful representation of Banc of America Investment Services, Inc., and one of its agents in obtaining dismissal of customer claims relating to an allegedly unsuitable variable annuity purchase
Publications
Past Events
Media Mentions & Firm News
Accolades
Mid-South Super Lawyers “Rising Star” (2013)
Vanderbilt Law School — Academic Excellence Awards in Conflicts of Law, WTO Dispute Resolution and Public Education Law