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FINRA Awards for Leonard B. Rose

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0004307/13/2022Claimant(s): Stephen DesRochers
Claimant Lawyers(s): Leonard B. Rose
Respondent(s): UBS Financial Services Inc., UBS Credit Corp
Respondent Lawyers(s): Michael F. Braun
Arbitrator(s): Sean Alan D'Amico, David Adams Reif, James Bromley Bragg
Hearing Site: Hartford, CT

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