| 14-00096 | 03/20/2015 | Claimant(s): Kathy Hewkin, Thomas Hewkin, Kathy S. Hewkin IRA, Thomas J. Hewkin IRA
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Valic Financial Advisors.
Respondent Lawyers(s): Kortney Farmer
Arbitrator(s): Daniel B. MacLeod, Nina Vallion, Francis Vincent Dane
Hearing Site: Portland, OR
|  | $667,422 |
| 12-02766 | 02/17/2015 | Claimant(s): Glen Lyon Long-Term Options
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Interactive Brokers Llc
Respondent Lawyers(s): Robert W. Topp
Arbitrator(s): Stuart H. Dunn, Carl F. Bowmer, Peter H. Goldberg
Hearing Site: Richmond, VA
| | $666,618 |
| 13-01545 | 07/16/2014 | Claimant(s): Gloria Kirby, Beneficiary to the Maynard J. Kirby IRA, Gloria M. Kirby IRA
Claimant Lawyers(s): Robert A. Kantas, Ryan Cook
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): John A. Baynes, Stephen P. Hoffman, James Edwin Jackson
Hearing Site: Columbia, SC
| | Expungement |
| 13-00984 | 12/13/2013 | Claimant(s): Caron Gallier, Deborah Harrison, Kathy Temple, Vernon Gallier, Caron Gallier IRA, Deborah Harrison IRA, Kathy Temple IRA, Jr. IRA
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Lincoln Financial Securities Corporation, Woodbury Financial Services.
Respondent Lawyers(s): Ami Shah, Jason A. Richardson
Arbitrator(s): David G. Beerbower, Robert Charles Morrison, Julie Marie Miller
Hearing Site: Houston, TX
| | $0 |
| 11-04700 | 08/19/2013 | Claimant(s): Wanda Jeffries
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Edward D. Jones & Co., L.P.
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Donald Milo Helton, Kenneth M. Jackson, Richard K. Smith
Hearing Site: Nashville, TN
| | Expungement |
| 11-00105 | 05/21/2012 | Claimant(s): Robin Hennessy, Robin Joan Hennessy IRA
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Richard Megorden, IFG/Russell Advisors.
Respondent Lawyers(s): Marianne Johnston
Arbitrator(s): John Russell Barlow, Rudolph Andrew Bata, John G. Shamp
Hearing Site: Charlotte, NC
| | Expungement |
| 10-02248 | 01/12/2012 | Claimant(s): Derek LaFavor, LaFavor Investments, L.P.
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): LPL Financial LLC, Michael Manning, Hamilton, Manning & Associates
Respondent Lawyers(s): John Kincade, John Singer
Arbitrator(s): Elizabeth A. Copley, Theodore T. Wdowiak, Anita Rae Shapiro
Hearing Site: Las Vegas, NV
| | Stipulated Award and Expungement |
| 09-01592 | 09/09/2010 | Claimant(s): Alf Co.. Retirement Trusts, Marietta Kneisly Trust, Craig Kneisly,
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Clinton J. Simpson
Arbitrator(s): Ronald L. Futterman, David H. White, Stephanie Jean Malevich
Hearing Site: Memphis, TN
| | $577,714 |
| 07-01364 | 07/14/2008 | Claimant(s): Garland O. and Antoinette P. Williamson
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Stanley Laman Group Securities
Respondent Lawyers(s): William G. Stanley
Arbitrator(s): William P. Borduin, Brenda J. Stovall, Thomas E. Maloney
Hearing Site: Baltimore, MD
| | Stipulated Award and Expungement |
| 05-06273 | 05/19/2008 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): James Jackson, Laura Rowley
Respondent Lawyers(s): Robert A. Kantas, Ronald P. Kane
Arbitrator(s): Daniel R. Schmieder, Dale A. Hearn, Carol Frances Relihan
Hearing Site: Houston, TX
| | |
