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FINRA Awards for Raymond Tate

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0098710/16/2013Claimant(s): Raymond Tate
Claimant Lawyers(s): Kim Michael
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrea G. Lisenbee
Arbitrator(s): Robert S. Mautner, Richard Marc Weinroth, Deborah Miriam Lavinsky
Hearing Site: Phoenix, AZ

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