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FINRA Awards for Kimberly Rose

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Case Number Award Date Case Summary Customer Case? Amount Granted
15-0145212/20/2016Claimant(s): Kimberly Rose
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Thomas F. Ryan, Charles Orlove, Michael J. Rappa
Hearing Site: Chicago, IL

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