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FINRA Awards for Roth Capital Partners

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0276504/20/2021Claimant(s): Timothy Hassell
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Roth Capital Partners
Respondent Lawyers(s): Richard Platt
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA

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