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FINRA Awards for Rick Smith

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Case Number Award Date Case Summary Customer Case? Amount Granted
23-0247807/22/2024Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Rick Smith
Respondent(s): Feng Chen
Respondent Lawyers(s): Feng Kou Chen
Arbitrator(s): John Burritt McArthur
Hearing Site: San Francisco, CA

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