| 20-02816 | 04/09/2021 | Claimant(s): John Moriarty
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): American General Securities Incorporated
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Robert J. Scafuri
Hearing Site: St. Louis, MO
| | |
| 20-02350 | 03/29/2021 | Claimant(s): Veralynn Starostecki
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): American General Securities Incorporated
Respondent Lawyers(s): James Noblett
Arbitrator(s): Richard E. Lauziere
Hearing Site: Baltimore, MD
| | |
| 18-02752 | 04/25/2019 | Claimant(s): Byron Holz
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): American General Securities Incorporated
Respondent Lawyers(s): Bradley A. Fishman
Arbitrator(s): Richard R. Logsdon
Hearing Site: Tampa, FL
| | |
| 16-00553 | 03/27/2017 | Claimant(s): Ilan Preis
Claimant Lawyers(s): Darlene R. Gimble
Respondent(s): Sagepoint Financial., American General Securities Incorporated
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Charles Hoffman, Robert H. Loevin, John Roth Roberts
Hearing Site: Boca Raton, FL
| | |
| 15-01834 | 03/25/2016 | Claimant(s): Brenda Woodmansee, Brenda K. Woodmansee IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Robert Smith, American General Securities Incorporated, Berthel, Fisher & Co Financial Svs., ProEquities.
Respondent Lawyers(s): Greg Curley, Heather R. Demyan, Stephen C. Jackson
Arbitrator(s): Daniel T. Hull, Rachel Kay Russell, Roslyn Barbee
Hearing Site: Birmingham, AL
|  | Dismissed by Rule 12206 |
| 12-03892 | 01/22/2014 | Claimant(s): Joseph Rocco
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Andrew Blease, American General Securities Incorporated
Respondent Lawyers(s): Edwin A. Barkel, Justin Sacca
Arbitrator(s): Katherine M. Harmeyer
Hearing Site: Phoenix, AZ
| | Expungement |
| 08-00858 | 06/05/2009 | Claimant(s): Alan Meinen, Jane Meinen, The Meinen Family Partnership, Ltd.
Claimant Lawyers(s): Melanie D. Bragg
Respondent(s): Shawn Goheen, American General Securities Incorporated
Respondent Lawyers(s): David K. Bissinger, Melinda Lucas Peevy
Arbitrator(s): Raymond C. Kerr, James E. Lane, Mark Edward Tredennick
Hearing Site: Houston, TX
| | $1,301,250 |
