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FINRA Awards for Ralph M. Goren

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0132608/08/2014Claimant(s): Oral Sekendur
Claimant Lawyers(s): Oral Sekendur
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Brody W. Weichbrodt
Arbitrator(s): Frederic M. Rizzo, Ralph M. Goren, Michael J. Rappa
Hearing Site: Chicago, IL
Checkmark Icon$0
13-0291505/01/2014Claimant(s): Steve Manley
Claimant Lawyers(s): Steve Manley
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Ralph M. Goren
Hearing Site: Indianapolis, IN
Checkmark Icon$6,574
11-0180401/31/2013Claimant(s): Candace Parkin, Robert Rubens
Claimant Lawyers(s): Robert Rubens
Respondent(s): Gerry Kostuk, Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Ralph M. Goren
Hearing Site: Chicago, IL
Checkmark IconExpungement
09-0511507/08/2011Claimant(s): Mohan Selvardj
Claimant Lawyers(s): Christopher J. Murdoch
Respondent(s): Thinkorswim.
Respondent Lawyers(s): Howard J. Kaplan
Arbitrator(s): Ralph M. Goren, Cynthia R. Lyons, Ann Wilhelmina Kuppe
Hearing Site: Chicago, IL
Checkmark Icon$0

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