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FINRA Awards for Shari B. Broder

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0279002/25/2014Claimant(s): Regina Coppens, as Trustee of the Regina
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Susan George
Arbitrator(s): Shari B. Broder
Hearing Site: Augusta, ME
Checkmark IconExpungement

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