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FINRA Awards for Richard Caplin

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0223912/01/2010Claimant(s): Dorothy Fuchs, Dorothy Fuchs IRA R/O, Dorothy Fuchs ROTH IRA
Claimant Lawyers(s): Steven C. Fuchs
Respondent(s): Richard Caplin
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Dorothy E. Morris
Hearing Site: New York, NY
Checkmark Icon$213

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