FINRA Awards for Rahul K. Surana

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
16-00852	03/02/2017	Claimant(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
09-03572	09/05/2014	Claimant(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
08-03782	05/10/2013	Claimant(s): Alyce Johnson, Andrew Balistreri, Anita Robertson, Ann Solomon, Ardeth Ullman, Barbara Grant, Beulah Flood, Carmen Yaskewich, Carol Brochini, Cary Tremewan, Catherine Hanoum, Darlene Harris, David Hinkel, Diane Kinzli, Donald King, Doreen Elkins, Dorothy Jones, Duncan Grant, Ernest Kinzli, Frank Thomas, et al Claimant Lawyers(s): Patrick Baldwin Respondent(s): Ruthe Gomez, Financial Networks Group, NDX Trading., Traderight Securities. Respondent Lawyers(s): Christopher Nelson, Michael J. Rukujzo, Patrick Baldwin Arbitrator(s): James N. D'Orso, M. Scott Donahey, Rahul K. Surana Hearing Site: San Francisco, CA		$4,277,740