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FINRA Awards for Michael B. Roth

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0176009/17/2014Claimant(s): Duke Kim
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Nomura Securities International.
Respondent Lawyers(s): Michael B. Roth
Arbitrator(s): Robert J. Kheel, Larry H. Irom, Jack Friedman
Hearing Site: New York, NY

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