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FINRA Awards for William L. Smith IRA

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Case Number Award Date Case Summary Customer Case? Amount Granted
07-0312706/09/2008Claimant(s): Ruth Smith, William Smith, Ruth M. Smith IRA, William L. Smith IRA
Claimant Lawyers(s): Ruth M. Smith
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Barry R. Temkin
Arbitrator(s): Jerry H. Friedland
Hearing Site: Phoenix, AZ
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