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FINRA Awards for Joan M. Smith

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0407109/13/2019Claimant(s): John Moy
Claimant Lawyers(s): Jennifer Willey
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): David L. Ruderman, Marian Smith Glenn, Joan M. Smith
Hearing Site: Baltimore, MD

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