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FINRA Awards for Alan Klein

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0388306/15/2011Claimant(s): Alan Klein, Ttee for Alan J Klein Trust
Claimant Lawyers(s): Alan Klein
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Elliot Leitner
Hearing Site: Chicago, IL
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