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FINRA Awards for Steven N. Fuller

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Displaying 4 out of 4 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0285508/30/2023Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Scott A. La Porta
Respondent(s): Jeffrey McHale
Respondent Lawyers(s): Steven N. Fuller
Arbitrator(s):
Hearing Site: Boston, MA
20-0062204/12/2022Claimant(s): Joseph Denicola
Claimant Lawyers(s): Steven N. Fuller
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Robin H. Rome
Arbitrator(s): B. John Dill, Frank Sanclemente, George Weston Mann
Hearing Site: Boston, MA
10-0412503/24/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael W. Starr
Respondent(s): Shawn Sullivan
Respondent Lawyers(s): Steven N. Fuller
Arbitrator(s): David Love
Hearing Site: Boston, MA
06-0192910/10/2007Claimant(s): William Spina
Claimant Lawyers(s): William Joseph Spina
Respondent(s): Jerome Spina, Teton Partners
Respondent Lawyers(s): Steven N. Fuller
Arbitrator(s): Joseph A. Cichon, Deborah B. Haskell, Maura Lenore Tomaszewski
Hearing Site: Boston, MA

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