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FINRA Broker Allegations

Allegations against: James Edward Lemonick

Allegation type: Customer Dispute

Allegation status: Award / Judgment

The allegations read: Lemonick was a subject of the customer's complaint against morgan stanley smith barney llc that asserted the following causes of action: fraud, negligence, breach of contract, negligent supervision, breach of fiduciary duty, respondeat superior, violations of securities laws, regulations, and trade practices of pennsylvania.

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