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FINRA Awards for John Caroli

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0254504/14/2021Claimant(s): John Caroli
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Susan C Lushing
Hearing Site: New York, NY

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