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FINRA Awards for TD Private Client Wealth

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0051102/10/2022Claimant(s): David Thompson
Claimant Lawyers(s): Brian J. Neville
Respondent(s): TD Private Client Wealth
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Leonard E. Benade, Douglas Earl McLaren, Norman Lee Gunn
Hearing Site: Charlotte, NC

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