Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| 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 | ||
| 07-03467 | 09/08/2008 | Claimant(s): Timothy Collins Claimant Lawyers(s): Joel H. Kaufman Respondent(s): David White, Inter Securities. Respondent Lawyers(s): Joseph H. Spiegel, Susan D. Duff Arbitrator(s): Stewart C.W. Weiner Hearing Site: Detroit, MI |  | Stipulated Award and Expungement |