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FINRA Awards for CPA

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Case Number Award Date Case Summary Customer Case? Amount Granted
15-0233307/21/2016Claimant(s): Betty Johnson
Claimant Lawyers(s): Betty L. Johnson
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Brian D. Esenwein, JD, CPA
Hearing Site: Dallas, TX

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