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FINRA Awards for First Trust Portfolios L.P.

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0416611/01/2013Claimant(s): Kevin Schoenbeck
Claimant Lawyers(s): Kevin L. Schoenbeck
Respondent(s): First Trust Portfolios L.P.
Respondent Lawyers(s): Sara Siegall
Arbitrator(s): Susan S. Hickel, Marilee Roberg, Susan L. Walker
Hearing Site: Chicago, IL
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