FINRA Awards for Deutsche Bank AG

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
11-00134	09/09/2019	Claimant(s): Constantine Demopoulos, Michael Fontaine Claimant Lawyers(s): Jeffrey Liddle Respondent(s): Deutsche Bank Securities., Deutsche Bank AG Respondent Lawyers(s): Cliff Fonstein Arbitrator(s): Ted M. Rosen, Mary Ellen Burns, Philip Rachmelowitz Hearing Site: New York, NY
13-00613	11/08/2013	Claimant(s): Charles Byrd, Dan DeSimoni, Dennis Owens, Doug Reinhart, Greg Stringer, Hammond Hunt, Henry Respess, Irvin Plowden, J. Turner Hunt, Massimo DeSimoni, Maxine Kelley, Michael DeSimoni, Paul Reinhart, Willard Hill, William Hunt, William "Will" Bunker Claimant Lawyers(s): Scott F. Hessell Respondent(s): Deutsche Bank Securities., David Parse, Raymond Brubaker, DB Alex. Brown LLC, Deutsche Bank AG Respondent Lawyers(s): Allan N. Taffet, Keith E. Blackman, Kevin E. O'Reilly, Paul H. Schoeman, The Company President Arbitrator(s): Joseph D. Vu, Marilee Roberg, Jacqueline Stanley Lustig Hearing Site: Chicago, IL		Dismissed by Rule 12206