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FINRA Broker Allegations

Allegations against: James Lewis Fulton

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: The above clients submitted claim form(s) to the claims resolution process relating to limited partnerships purchases during the period 12/88 - 1/89. I was the broker of record at the time of purchase. No damages where alleged but the amounts of actual loss (out of pocket) is /are approximately $12,496.

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