FINRA Awards for Susan D. Duff

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Displaying 21-27 out of 27 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
18-02175	01/25/2019	Claimant(s): John Balcerzak Claimant Lawyers(s): Dochtor Kennedy Respondent(s): WMA Securities., World Group Securities. Respondent Lawyers(s): Clive Slovin, Susan D. Duff Arbitrator(s): Lynne T. Albert Hearing Site: Charlotte, NC
18-00779	11/21/2018	Claimant(s): Anthony DiBernardo Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Transamerica Financial Advisors Respondent Lawyers(s): Susan D. Duff Arbitrator(s): Joseph C. Watson Hearing Site: Los Angeles, CA
18-01006	09/14/2018	Claimant(s): Diana Navarre Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Transamerica Financial Advisors. Respondent Lawyers(s): Susan D. Duff Arbitrator(s): Neil S. Jasper Hearing Site: Los Angeles, CA
17-03011	07/23/2018	Claimant(s): Roy Strong Claimant Lawyers(s): Armin Sarabi Respondent(s): Transamerica Financial Advisors Respondent Lawyers(s): Susan D. Duff Arbitrator(s): Thomas F. Mahoney Hearing Site: Indianapolis, IN
16-03224	10/09/2017	Claimant(s): Vivienne Schleu Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC, WMA Securities., World Group Securities. Respondent Lawyers(s): Clive Slovin, Jon D. Kaplon, Susan D. Duff Arbitrator(s): Will Murphy Hearing Site: Boca Raton, FL
16-01150	09/01/2016	Claimant(s): Daniel Rosenberg Claimant Lawyers(s): Debra A. Jenks Respondent(s): Transamerica Financial Advisors Respondent Lawyers(s): Susan D. Duff Arbitrator(s): Steven R. Reininger, Stephen Kahane, David Rich Hearing Site: Boca Raton, FL
15-02333	07/21/2016	Claimant(s): Betty Johnson Claimant Lawyers(s): Betty L. Johnson Respondent(s): Transamerica Financial Advisors Respondent Lawyers(s): Susan D. Duff Arbitrator(s): Brian D. Esenwein, JD, CPA Hearing Site: Dallas, TX