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FINRA Awards for Larry James

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0160409/06/2011Claimant(s): Connie Hage
Claimant Lawyers(s): Steve Virgil
Respondent(s): Larry James, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrea M. Greene, Kathryn L. Dietrich
Arbitrator(s): Carl F. Bowmer
Hearing Site: Raleigh, NC
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