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FINRA Broker Allegations

Allegations against: James William Ray

Allegation type: Customer Dispute

Allegation status: Denied

The allegations read: Client's attorney alleged that there was a "failure to exercise a reasonable standard of care in dealing with" the client because although she was assured that she would be informed of buy/sell recommendations, she failed to receive a call to sell when other clients were advised to sell. 1996-2000

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