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FINRA Awards for The Estate of Harvey Rosner

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0145604/26/2011Claimant(s): The Estate of Harvey Rosner
Claimant Lawyers(s): Thomas C. Wagner
Respondent(s): Kristen Hummel, U.S. Bancorp Investments.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Cleveland, OH
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