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FINRA Awards for Stephen L Halpern

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0003407/22/2010Claimant(s): Stephen L. Halpern Profit Sharing Plan
Claimant Lawyers(s): Stephen L Halpern
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): W. Alex King
Hearing Site: Los Angeles, CA
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