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FINRA Awards for Cindy Shi

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0322705/18/2015Claimant(s): Cindy Shi
Claimant Lawyers(s): Cindy Shu-Way Shi
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Melissa Raphan
Arbitrator(s): Nicholas J. Caputo, Carol Ann Jensen, Sarah Jane Militello
Hearing Site: San Francisco, CA

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