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FINRA Awards for James Caldwell

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0045311/21/2019Claimant(s): James Caldwell
Claimant Lawyers(s): Matt Wolper
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Maurice M. Feller
Hearing Site: Orlando, FL

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