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FINRA Awards for Roger Lam

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0278010/24/2017Claimant(s): Kwok Cheung
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc., Roger Lam
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Will Murphy, Carolyn E. Moore, Richard S. Herman
Hearing Site: Boca Raton, FL
Checkmark IconExpungement

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