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FINRA Awards for Carol H Li

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0316510/23/2015Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol H Li
Respondent(s): Karen Kane
Respondent Lawyers(s): Karen Suzanne Kane
Arbitrator(s): Randall S. Strause
Hearing Site: Indianapolis, IN

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