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FINRA Awards for Don Herbert & Mary C. Herbert Trust

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0400710/21/2014Claimant(s): Don Herbert & Mary C. Herbert Trust
Claimant Lawyers(s): David Neuman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Kenneth M. Jackson, Arthur L. Tepper, Edwin Joseph Rehrman
Hearing Site: Louisville, KY
Checkmark IconExpungement

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