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FINRA Awards for Therese Fleming IRA

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0118703/04/2021Claimant(s): Therese Fleming, Therese Fleming IRA
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Linda Broocks
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
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