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FINRA Awards for Golden State Advisors

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0095403/21/2013Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Suzanne Chen, Golden State Advisors
Respondent Lawyers(s): David H. Schwartz
Arbitrator(s): Alvin L. Fishman, Dean J. Dietrich, John J. Fitzpatrick
Hearing Site: San Francisco, CA

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