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FINRA Awards for Frank J. Spencer

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Case Number Award Date Case Summary Customer Case? Amount Granted
05-0110611/30/2007Claimant(s): Anthony Titone
Claimant Lawyers(s): Kimberly N. Testa
Respondent(s): RBC Dain Rauscher., Stanley Hochhauser
Respondent Lawyers(s): Sandra Grannum
Arbitrator(s): Ivan W. Harper, Frank J. Spencer, Steven A. Infante
Hearing Site: New York, NY
Checkmark IconStipulated Award and Expungement

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