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FINRA Awards for Steve Smith

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0036705/13/2020Claimant(s): Steve Smith
Claimant Lawyers(s): Mark S. Simms
Respondent(s): Miles James, Cetera Investment Services LLC
Respondent Lawyers(s): Christina Z. Vourakis, Jeremy A. Root
Arbitrator(s): Barry Goldman
Hearing Site: St. Louis, MO
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