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FINRA Awards for Katharine Hazen

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0372308/27/2013Claimant(s): Katharine Hazen, Kirk Hazen
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Patricia Gunn
Hearing Site: Orlando, FL
Checkmark IconExpungement

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