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FINRA Awards for Ralph Esposito

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Case Number Award Date Case Summary Customer Case? Amount Granted
06-0106307/10/2009Claimant(s): Louis Rosenwein, Meredith Rosenwein, TTEE f/b/o Robert
Claimant Lawyers(s): R. Jeffrey More
Respondent(s): Ralph Esposito, Janney Montgomery Scott LLC
Respondent Lawyers(s): Lionel G. Hest
Arbitrator(s): Orestes J. Mihaly, Paul Weinberg, James M Coakley
Hearing Site: New York, NY
Checkmark IconStipulated Award and Expungement

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