FINRA Awards for Transamerica Financial Advisors

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
17-02443	06/05/2018	Claimant(s): Columbus- Sierra, Peter Sierra Living Trust dtd 4/15/14 Claimant Lawyers(s): Philip J. Snyderburn Respondent(s): Transamerica Financial Advisors Respondent Lawyers(s): Katherine C. Donlon Arbitrator(s): Edith N. Dinneen, Thomas Joseph Atkinson, Ronald Charles Waters Hearing Site: Orlando, FL		Dismissed by Rule 12206
14-03503	07/01/2015	Claimant(s): Harvey Klein, Joan Bailey Claimant Lawyers(s): Moshe Y. Singer Respondent(s): Transamerica Financial Advisors Respondent Lawyers(s): Katherine C. Donlon Arbitrator(s): Sam Antar, Denise N. Seegobin, Steven Hale Zousmer Hearing Site: New York, NY		$0
13-01578	04/07/2015	Claimant(s): Pamela Slyter Claimant Lawyers(s): Terri A. Merriam Respondent(s): Raymond Kempf, Kempf & Co., Transamerica Financial Advisors Respondent Lawyers(s): Christopher B. Wells Arbitrator(s): Robert M. Stein, Richard L. Warner, Al Van Kampen Hearing Site: Seattle, WA		$201,533
14-02201	02/26/2015	Claimant(s): Xiwei Wu Claimant Lawyers(s): Xiwei Wu Respondent(s): Zhaohui Chen, Transamerica Financial Advisors Respondent Lawyers(s): Susan Duff Arbitrator(s): Mary Margaret Bush Hearing Site: San Francisco, CA		$0