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FINRA Awards for Leon C. Tupy

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0380211/15/2010Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Rockwell Pearson
Respondent Lawyers(s): Rockwell Stuart Pearson
Arbitrator(s): Leon C. Tupy
Hearing Site: Denver, CO

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