| 19-00345 | 09/18/2019 | Claimant(s): Stephanie Abee
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kestra Investment Services, Llc, Transamerica Financial Advisors
Respondent Lawyers(s): David J. Lehr, Susan D. Duff
Arbitrator(s): Kenneth R. Starr
Hearing Site: Raleigh, 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
| | |
| 17-03499 | 09/10/2018 | Claimant(s): Kevin Nast
Claimant Lawyers(s): Eric Litow
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): Adam M. Wenner
Arbitrator(s): Timothy J. Currier
Hearing Site: Detroit, MI
| | |
| 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
| | |
| 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 |
| 16-00086 | 02/16/2018 | Claimant(s): Rake Murray
Claimant Lawyers(s): Eric Walraven
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): Mitchell J. Albert
Arbitrator(s): Joseph C. Watson, Jill Switzer, Howard Clark Posner
Hearing Site: Los Angeles, CA
| | |
| 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
| | |
| 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 |
