FINRA Awards for David Thompson

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
22-00516	10/17/2022	Claimant(s): David Thompson Claimant Lawyers(s): James P. Galvin Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): John P. Cullem, Stuart Sinai, Philip L. Manczak Hearing Site: Tampa, FL
20-00511	02/10/2022	Claimant(s): David Thompson Claimant Lawyers(s): Brian J. Neville Respondent(s): TD Private Client Wealth Respondent Lawyers(s): Ira G. Rosenstein Arbitrator(s): Leonard E. Benade, Douglas Earl McLaren, Norman Lee Gunn Hearing Site: Charlotte, NC