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FINRA Awards for VALIC Financial Advisors.

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Case Number Award Date Case Summary Customer Case? Amount Granted
23-0154403/15/2024Claimant(s): Kerry Norwood
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): VALIC Financial Advisors.
Respondent Lawyers(s): Kathryn D. Perrault
Arbitrator(s): John Kenneth Popham
Hearing Site: Dallas, TX
21-0282706/28/2022Claimant(s): Daniel Abraham
Claimant Lawyers(s): Stephan Louviere
Respondent(s): VALIC Financial Advisors.
Respondent Lawyers(s): Michael S. Cargnel
Arbitrator(s): Robert J. Gregory
Hearing Site: New Orleans, LA
17-0066601/26/2018Claimant(s): Brett Laferrera
Claimant Lawyers(s): Brett Andrew LaFerrara
Respondent(s): VALIC Financial Advisors.
Respondent Lawyers(s): Michael A. Rollin
Arbitrator(s): Barbara Black, Terresa L. Beaman, Robert N. Kohn
Hearing Site: Birmingham, AL
16-0160912/06/2016Claimant(s): Mariann Cole
Claimant Lawyers(s): Mariann Cole
Respondent(s): Jason Oestreicher, VALIC Financial Advisors.
Respondent Lawyers(s): Stephanie H. Massey
Arbitrator(s): Bernard A. Becker
Hearing Site: Miami, FL
Checkmark Icon$6,000

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