FINRA Awards for Thomas Kevin Ambrose

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
17-01120	12/22/2017	Claimant(s): Cambridge Investment Research. Claimant Lawyers(s): Carrie L. Lathrop Respondent(s): Thomas Ambrose Respondent Lawyers(s): Thomas Kevin Ambrose Arbitrator(s): Morton S. Bunis Hearing Site: Wilmington, DE
13-03471	06/25/2014	Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Edward A. Walton Respondent(s): Thomas Ambrose Respondent Lawyers(s): Thomas Kevin Ambrose Arbitrator(s): David Paul Clark Hearing Site: Wilmington, DE