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FINRA Awards for Frank M Romano

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0337701/06/2020Claimant(s): Danya Heroman
Claimant Lawyers(s): Michael M. Thompson
Respondent(s): Robert Smith, Cetera Investment Services LLC
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Frank M Romano
Hearing Site: New Orleans, LA
Checkmark IconDismissed by Rule 12212(c)

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