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FINRA Awards for John M. Phalen

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0258212/29/2010Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Todd Ratner
Respondent(s): Allison Tarpley, UBS Financial Services Inc.
Respondent Lawyers(s): John M. Phalen, Molly Tatman
Arbitrator(s): Mark L. Williams
Hearing Site: Dallas, TX

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