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FINRA Awards for Dougherty & Company LLC

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0107505/14/2013Claimant(s): Diane Hunt
Claimant Lawyers(s): David W. Miller
Respondent(s): Dougherty & Company LLC
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Joseph C. Roberts, Thomas R. Dreiling, Jerome O. Cohen
Hearing Site: Seattle, WA
Checkmark IconExpungement

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