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FINRA Awards for Dave Rao

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0057706/01/2018Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Dave Rao
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY

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