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FINRA Awards for Transamerica Financial Advisors

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Displaying 10 out of 22 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0130405/20/2024Claimant(s): Frank Snyder
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Tracy L. Allen
Hearing Site: St. Louis, MO
23-0121501/22/2024Claimant(s): Brent Turner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): QA3 Financial Corp., Transamerica Financial Advisors
Respondent Lawyers(s): Stephen K. Wild, Susan D. Duff
Arbitrator(s): Karl A. Vogeler
Hearing Site: Nashville, TN
23-0067010/30/2023Claimant(s): Dianne Odom
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Woodbury Financial Services., J.W. Cole Financial., Transamerica Financial Advisors
Respondent Lawyers(s): Gregg J. Breitbart, Jennifer R. Cox, Susan D. Duff
Arbitrator(s): David M. Snyder, Nathan Jon Larson, Bryant Ashley Scriven
Hearing Site: Tampa, FL
20-0314407/30/2021Claimant(s): Garyn Angel
Claimant Lawyers(s): Joshua A Katz
Respondent(s): Invest Financial Corporation, Transamerica Financial Advisors
Respondent Lawyers(s): Eric A. Michaels, Susan D. Duff
Arbitrator(s): Richard S. Zaifert
Hearing Site: Tampa, FL
20-0301005/20/2021Claimant(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
20-0251405/10/2021Claimant(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
20-0077612/03/2020Claimant(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
20-0135210/28/2020Claimant(s): Roy Strong
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): James F. Koehler
Arbitrator(s): Paul Lansing, Gregory G. Gocek, Keith Lorenzo Griffin
Hearing Site: Indianapolis, IN
19-0203512/18/2019Claimant(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
19-0010709/27/2019Claimant(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

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