FINRA Awards for Susan D. Duff

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 11-20 out of 27 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
20-03163	05/26/2021	Claimant(s): Bruce Slater Claimant Lawyers(s): Jennifer P. Farrar Respondent(s): Transamerica Financial Advisors. Respondent Lawyers(s): Susan D. Duff Arbitrator(s): Jeffry M. Bauer Hearing Site: Tampa, FL
20-03010	05/20/2021	Claimant(s): Joshua Williamson Claimant Lawyers(s): Chelsea Masters Respondent(s): Transamerica Financial Advisors Respondent Lawyers(s): Susan D. Duff Arbitrator(s): Mary Margaret Bush Hearing Site: San Francisco, CA
20-02514	05/10/2021	Claimant(s): Brian Palkowitsh Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Transamerica Financial Advisors, Transamerica Financial Advisors. Respondent Lawyers(s): Susan D. Duff Arbitrator(s): Joseph Neal Richardson Hearing Site: Wichita, KS
20-00776	12/03/2020	Claimant(s): Christopher Jacob Claimant Lawyers(s): Brian Luther Respondent(s): First Heartland Capital., Transamerica Financial Advisors Respondent Lawyers(s): Jeanne A. Jehle, Susan D. Duff Arbitrator(s): Robert J. Gryzmala Hearing Site: St. Louis, MO
20-00131	10/29/2020	Claimant(s): Matthew Bumstead Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Transamerica Financial Advisors. Respondent Lawyers(s): Susan D. Duff Arbitrator(s): Stephany Adriene Watson Hearing Site: Seattle, WA
20-00771	09/18/2020	Claimant(s): Noel Swain Claimant Lawyers(s): Brian Luther Respondent(s): Transamerica Financial Advisors. Respondent Lawyers(s): Susan D. Duff Arbitrator(s): Gary E. Marcus Hearing Site: Columbia, SC
19-02035	12/18/2019	Claimant(s): Thomas Mathews Claimant Lawyers(s): Alan Wolper Respondent(s): Transamerica Financial Advisors Respondent Lawyers(s): Susan D. Duff Arbitrator(s): James C. Hoover Hearing Site: Atlanta, GA
19-00107	09/27/2019	Claimant(s): Gilberto Briseno Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Transamerica Financial Advisors Respondent Lawyers(s): Susan D. Duff Arbitrator(s): Mark C Watler Hearing Site: New Orleans, LA
19-00345	09/18/2019	Claimant(s): Stephanie Abee Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Kestra Investment Services, Llc, Transamerica Financial Advisors Respondent Lawyers(s): David J. Lehr, Susan D. Duff Arbitrator(s): Kenneth R. Starr Hearing Site: Raleigh, NC
18-02979	04/02/2019	Claimant(s): Jeffery Sorensen Claimant Lawyers(s): Michelle Atlas Respondent(s): Transamerica Financial Advisors. Respondent Lawyers(s): Susan D. Duff Arbitrator(s): Joyce L. Hurley Hearing Site: Los Angeles, CA