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FINRA Awards for Rick J Wathen

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0105907/17/2015Claimant(s): Sharon Graham Bingham 2007 Trust
Claimant Lawyers(s): Rick J Wathen
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Lawrence R. Cock
Arbitrator(s): James A. Bishop, Linda I. Thomas, Kenneth James Pedersen
Hearing Site: Seattle, WA
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