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FINRA Awards for Richard Caris

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Case Number Award Date Case Summary Customer Case? Amount Granted
07-0022308/13/2007Claimant(s): Richard Caris
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joseph L. Hood
Arbitrator(s): Marc Kalish, Robert W. Bruns, Curtis L. Ritland
Hearing Site: Phoenix, AZ
Checkmark Icon$690,430

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