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FINRA Awards for Rodger E. Thomas

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0463202/05/2013Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Rodger Thomas
Respondent Lawyers(s): Rodger E. Thomas
Arbitrator(s): Anthony Michael Sabino
Hearing Site: New York, NY

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