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FINRA Awards for James Sims

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Case Number Award Date Case Summary Customer Case? Amount Granted
06-0520905/30/2008Claimant(s): Carol Marubio, Richard Marubio
Claimant Lawyers(s): Mark P. Loftus
Respondent(s): James Sims, Robert Thurlby, MetLife Securities.
Respondent Lawyers(s): Penelope M. Taylor
Arbitrator(s): Mary Beth Wheeler, David John Diersen, Craig D. Cook
Hearing Site: Chicago, IL
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