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FINRA Awards for Rahul K. Surana

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0085203/02/2017Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay E. Wuller
Respondent(s): Andrew Spivey
Respondent Lawyers(s): Andrew Gary Spivey
Arbitrator(s): Dean J. Dietrich, Ralph L. Jacobson, Rahul K. Surana
Hearing Site: San Francisco, CA
09-0357209/05/2014Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald Kane
Respondent(s): Arthur Mitsutome
Respondent Lawyers(s): Jacqueline DeSouza
Arbitrator(s): Helen Marinak Blohm, Robin Lynn Berry, Rahul K. Surana
Hearing Site: San Francisco, CA

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