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FINRA Awards for E. Duane Stephens

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Case Number Award Date Case Summary Customer Case? Amount Granted
08-0225507/21/2009Claimant(s): Hung Hoang
Claimant Lawyers(s): James T. Kim
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Harry B. Endsley, E. Duane Stephens, Hadden Wing Roth
Hearing Site: San Francisco, CA
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