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FINRA Awards for David Herman

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0405910/10/2011Claimant(s): David Herman
Claimant Lawyers(s): Lance Kimmel
Respondent(s): Mosaic Capital Securities
Respondent Lawyers(s): Robert Peter Weiss
Arbitrator(s): Thomas E. Shuck
Hearing Site: Los Angeles, CA

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