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FINRA Awards for Robert Baumgartner

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0151801/22/2018Claimant(s): Carol Baumgartner, Robert Baumgartner
Claimant Lawyers(s): Robert J. Baumgartner
Respondent(s): Kirk Ongman, UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): James A. Murphy
Hearing Site: Chicago, IL
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