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FINRA Awards for Sergio Caruso

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0147906/14/2017Claimant(s): Robert Yun
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Mark Karow, Legend Securities.
Respondent Lawyers(s): Mark Alan Karow, Sergio Caruso
Arbitrator(s): Susan Manca
Hearing Site: New York, NY
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