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FINRA Awards for Seth Goldberg

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0269212/20/2013Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Edward G. Winsman
Respondent(s): Seth Goldberg
Respondent Lawyers(s): Mark Chester
Arbitrator(s): Bruce R. Heurlin
Hearing Site: Phoenix, AZ

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