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FINRA Awards for Windward Capital Management Co.

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0004703/29/2010Claimant(s): S. L. Reed & Company, Windward Capital Management Co.
Claimant Lawyers(s): Daniel K. Dik
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Jeffrey K. Riffer
Arbitrator(s): Blaine Smith, J. Jean Elliott, Peter D. Steinbroner
Hearing Site: Los Angeles, CA

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