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FINRA Awards for B. Riley Securities.

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0285409/24/2021Claimant(s): Jonathan Legg
Claimant Lawyers(s): Adam M Kauff
Respondent(s): Legg Mason Wood Walker, B. Riley Securities.
Respondent Lawyers(s): Michael Markunas, Rosemary Francavilla
Arbitrator(s): Jane C. Carney
Hearing Site: Washington, DC

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