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FINRA Awards for Stuart Allen

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0335812/23/2013Claimant(s): Stuart Allen
Claimant Lawyers(s): James H. West
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ronald D. Smith
Arbitrator(s): Leon Fox, Pamela A. Kentra, Michael I. White
Hearing Site: Chicago, IL
Checkmark IconExpungement

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