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FINRA Awards for Merle D. Rockwell

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0659008/02/2011Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Franklin Hill
Respondent Lawyers(s): Franklin Hill
Arbitrator(s): Merle D. Rockwell, Yvette C. Hatfield, Gene E. Godley
Hearing Site: Washington, DC

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