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FINRA Awards for Stephen Caton

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Case Number Award Date Case Summary Customer Case? Amount Granted
22-0168206/30/2023Claimant(s): Stephen Caton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Maryanne M. Esser
Hearing Site: Houston, TX

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