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FINRA Awards for Richard Rosen

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0358105/15/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Richard Rosen
Respondent Lawyers(s): Richard Lawrence Rosen
Arbitrator(s): Barth Satuloff
Hearing Site: Boca Raton, FL

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