| 22-02941 | 07/11/2023 | Claimant(s): William Mitchell
Claimant Lawyers(s): Nathan W. Lamb
Respondent(s): Transamerica Financial Advisors.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Robert David Epstein
Hearing Site: Cincinnati, OH
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| 22-00505 | 12/16/2022 | Claimant(s): Bradley Ford
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Transamerica Financial Advisors., USA Financial Securities Corporation
Respondent Lawyers(s): Andrea McGrew, Susan D. Duff
Arbitrator(s): Amelia F. Adams
Hearing Site: Louisville, KY
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| 21-02677 | 04/27/2022 | Claimant(s): Rusty Hood
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Transamerica Financial Advisors.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Neil S. Jasper
Hearing Site: Los Angeles, CA
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| 21-00747 | 11/08/2021 | Claimant(s): Zheng Qu
Claimant Lawyers(s): Erika Binnix
Respondent(s): Transamerica Financial Advisors.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
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| 20-03163 | 05/26/2021 | Claimant(s): Bruce Slater
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Transamerica Financial Advisors.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Tampa, FL
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| 20-02514 | 05/10/2021 | Claimant(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
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| 20-00131 | 10/29/2020 | Claimant(s): Matthew Bumstead
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Transamerica Financial Advisors.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Stephany Adriene Watson
Hearing Site: Seattle, WA
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| 20-00771 | 09/18/2020 | Claimant(s): Noel Swain
Claimant Lawyers(s): Brian Luther
Respondent(s): Transamerica Financial Advisors.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Gary E. Marcus
Hearing Site: Columbia, SC
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| 18-02979 | 04/02/2019 | Claimant(s): Jeffery Sorensen
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Transamerica Financial Advisors.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
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| 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
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