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FINRA Awards for Mark Brian Smalley

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0063808/12/2016Claimant(s): Mark Smalley
Claimant Lawyers(s): Mark Brian Smalley
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Robert E. Anderson, Joseph H. Cerame, Leo J. Karwejna
Hearing Site: Newark, NJ

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