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FINRA Awards for Carl Gusie

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0081910/31/2014Claimant(s): Barbara Gusie, Carl Gusie
Claimant Lawyers(s): Rasheed Karim Allen
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Steven Dempsey
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Alfred Brunette
Hearing Site: Tampa, FL
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