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FINRA Awards for Advanced Equities.

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Case Number Award Date Case Summary Customer Case? Amount Granted
06-0460601/22/2008Claimant(s): Katherine Reeve
Claimant Lawyers(s): Niall P. McCarthy
Respondent(s): Advanced Equities.
Respondent Lawyers(s): Edward T. Anderson
Arbitrator(s): Walter P. Hitchcock, Alexandra M. Linden, Gail Killefer
Hearing Site: San Francisco, CA

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