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FINRA Awards for Arno C. Schwethelm

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0324911/27/2013Claimant(s): Lawrence Wilkerson
Claimant Lawyers(s): Robert K. Savage
Respondent(s): IMS Securities.
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): Arno C. Schwethelm
Hearing Site: Houston, TX
09-0075712/22/2009Claimant(s): Linda Whitney
Claimant Lawyers(s): Linda Whitney
Respondent(s): Alan Krockover, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Arno C. Schwethelm
Hearing Site: Houston, TX
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08-0080207/11/2008Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Bradley Bangen
Respondent Lawyers(s): Bradley C. Bangen
Arbitrator(s): Arno C. Schwethelm
Hearing Site: Houston, TX

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