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FINRA Awards for Clayton J. Kaiser

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Case Number Award Date Case Summary Customer Case? Amount Granted
23-0215211/01/2023Claimant(s): Sean Spencer, Access Capital
Claimant Lawyers(s): John Vaughn
Respondent(s): IMA Wealth
Respondent Lawyers(s): Clayton J. Kaiser
Arbitrator(s): John W. Jones, Leonard M. Goldstein, Tara A. LaClair
Hearing Site: Wichita, KS

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