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FINRA Awards for Ann Elizabeth Sarli

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0296710/20/2022Claimant(s): Amy Diehl
Claimant Lawyers(s): James A. Hughes
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Emma C. Tomsick
Arbitrator(s): Ann Elizabeth Sarli
Hearing Site: San Francisco, CA
20-0273007/07/2021Claimant(s): Everest Wong
Claimant Lawyers(s): Chelsea Masters
Respondent(s): Citicorp Investment Services
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Ann Elizabeth Sarli
Hearing Site: San Francisco, CA
16-0335909/11/2019Claimant(s): Thomas Carney
Claimant Lawyers(s): William R. Lindsley
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Dean J. Dietrich, Mary H. Evans, Ann Elizabeth Sarli
Hearing Site: San Francisco, CA

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