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FINRA Awards for Steven M. Phillps

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0306812/04/2014Claimant(s): Kevin Rodriguez
Claimant Lawyers(s): Jason W. Gaarder
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Steven M. Phillps
Arbitrator(s): Shahla Butler, Vicky L. Orem, Thomas James Hirsch
Hearing Site: Baltimore, MD
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