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FINRA Awards for David Steele Pennington

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0211206/25/2015Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol Li
Respondent(s): David Pennington
Respondent Lawyers(s): David Steele Pennington
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Louisville, KY

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