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FINRA Awards for Transamerica Capital.

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Case Number Award Date Case Summary Customer Case? Amount Granted
22-0081610/13/2022Claimant(s): Joel Ratzker
Claimant Lawyers(s): Joel Ratzker
Respondent(s): Transamerica Capital.
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Judith C. Zerden
Hearing Site: New York, NY
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20-0350906/21/2021Claimant(s): Shane Smith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Transamerica Capital.
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
17-0196806/15/2018Claimant(s): Zane Piston
Claimant Lawyers(s): John A. Gallagher
Respondent(s): Transamerica Capital.
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Anthony B. Petrelli, Steven Meyrich, Baldwin Ranson
Hearing Site: Denver, CO

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