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FINRA Awards for Richard Rothenberg

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0637911/16/2011Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): Richard Rothenberg
Respondent Lawyers(s): Jonathan Sack
Arbitrator(s): David N. Brainin, Kenneth L. Stewart, Catherine I. Gulevich
Hearing Site: New York, NY

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