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FINRA Awards for SEP-IRA

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0291905/10/2011Claimant(s): Brad A. Baggarly, SEP-IRA
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
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