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FINRA Awards for John Wartman

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0372901/09/2018Claimant(s): John Wartman, John M. Wartman Roth IRA
Claimant Lawyers(s): John M. Wartman
Respondent(s): D.A. Davidson & Co.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Steven H. Gentry
Hearing Site: Los Angeles, CA
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