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FINRA Awards for Katherine C. Helzer

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Case Number Award Date Case Summary Customer Case? Amount Granted
05-0585601/15/2008Claimant(s): Advest.
Claimant Lawyers(s): Michael J. Fortunato
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Katherine C. Helzer
Arbitrator(s): William J. Crowe, Vicki Z. Holleman, Richard S. Peskin
Hearing Site: New York, NY

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