MARK STUART BAER is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 3700 EMBASSY PARKWAY, SUITE 340, AKRON, OH, 44333.
MARK STUART BAER has worked at MORGAN STANLEY since January 13, 2012
MARK STUART BAER has 2 Disclosure Event(s).
Date: August 11, 2011 Category: Customer Dispute Allegations: CLAIMANTS ALLEGES SECURITIES FRAUD, COMMON LAW FRAUD AND MISREPRESENTATION, MATERIAL OMISSION, UNSUITABILITY, BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT, FAILURE TO DISCLOSE A MATERIAL CONFLICT OF INTEREST, NEGLIGENCE, FAILURE TO SUPERVISE, VIOLATIONS OF FEDERAL SECURITIES LAWS, OHIO AND FLORIDA SECURITIES STATUTES, OHIO AND FLORIDA COMMON LAW AND FINRA RULES, RESPONDEAT SUPERIOR, CONTROL PERSON LIABILITY REGARDING THEIR LEHMAN NOTES. Damage Amount Requested: $160,000.00 Settlement Amount: $85,000.00 Broker Comment: I CATEGORICALLY DENY THE ALLEGATIONS OR PERSONAL INFERENCES AS STATED BY THE COMPLAINANTS. IN THE FOREGOING PROCESS, WHICH WAS SETTLED THROUGH MEDIATION, THIS SETTLEMENT DOES NOT REFLECT ANY ACKNOWLEDGEMENT OR ADMISSION OF ANY LIABILITY OR MISCONDUCT ON MY PART WHATSOEVER, AND WAS RESOLVED TO AVOID THE POTENTIAL COST AND UNCERTAINTIES OF THE ARBITRATION FORUM. FINALLY, I DID NOT, NOR WAS I ASKED TO PERSONALLY CONTRIBUTE ANY AMOUNT TOWARDS THE SETTLEMENT OF THIS CASE
Date: October 23, 2000 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT THE PURCHASES OF JDS UNIPHASE AND RF MICRO DEVICES WERE NOT APPROPRIATE FOR HIS ACCOUNT. CUSTOMER STATES THAT THE GUIDELINES FOR HIS ACCOUNT WERE TO PROTECT THE NET WORTH BECAUSE HE IS CLOSE TO RETIREMENT AGE. TIME PERIOD 9/2000. DAMAGES UNSPECIFIED, BUT ESTIMATED TO BE OVER $5,000 Settlement Amount: $5,000.00 Broker Comment: ON OR ABOUT 9/8/00, I DISCUSSED WITH THE CUSTOMER THE PURCHASE OF JDSU AND RFMD. WE REVIEWED PW EQUITY RESEARCH AS WELL AS S & P REPORTS ON BOTH STOCKS. AFTER REVIEWING THE INVESTMENTS, WE DECIDED ON THE PURCHASES OF BOTH STOCKS. AS A BUSINESS DECISION AND IN THE INTEREST OF GOOD CLIENT RELATIONS, PAINEWEBBER SETTLED THIS MATTER FOR $5,000.
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