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FINRA Awards for Charles James

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Case Number Award Date Case Summary Customer Case? Amount Granted
15-0023510/24/2016Claimant(s): Estate of Daniel Drummond
Claimant Lawyers(s): Andrew D. Gowdown
Respondent(s): Charles James, Wells Fargo Advisors
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Robert A. Dean, Dana Tait Sandlin, Richard James Igou
Hearing Site: Columbia, SC
Checkmark Icon$5,988

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