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FINRA Awards for ASA Tax Advantage Relative Value Fund

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0448412/14/2010Claimant(s): ASA Tax Advantage Relative Value Fund
Claimant Lawyers(s): Geoffrey P. Jarpe
Respondent(s): National Financial Services LLC
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Bruce J. Nerland, Douglas J. Nesbit, Peter N. Thompson
Hearing Site: Minneapolis, MN
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