| 15-00473 | 03/04/2016 | Claimant(s): Kim Stern
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Kevin R. McManaman
Arbitrator(s): Terry F. Peppard, Brett W. Olander, Verne R. Gray
Hearing Site: Des Moines, IA
|  | $57,925 |
| 14-02077 | 11/23/2015 | Claimant(s): John Haas, Kathy Haas, NNN Parkway Corporate Plaza 5
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Sagepoint Financial., Peter Shusterman
Respondent Lawyers(s): Theodore C. Peters
Arbitrator(s): Mary Elizabeth Geerdes, Daniel A. Seiver, Randall Brian Christison
Hearing Site: San Diego, CA
| | Dismissed by Rule 12206 |
| 13-02750 | 04/09/2015 | Claimant(s): Hiroshi & Ione Ishii Family Trust Dated
Claimant Lawyers(s): Richard M. Kelly
Respondent(s): Jason Chan, Sagepoint Financial.
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): William Ziering, Darryl J. Horowitt, Jeffrey M. Allen
Hearing Site: San Francisco, CA
| | $5,979 |
| 13-03274 | 03/31/2015 | Claimant(s): Roberta Franklin, The Downey Brand, LLP Employment Retirem, Roberta Lee Franklin IRA
Claimant Lawyers(s): Roberta Lee Franklin
Respondent(s): Edward Stadjuhar, Sagepoint Financial., Strategic Wealth Advisors Group
Respondent Lawyers(s): Gregory T. Fayard, Kasumi L. Takahashi
Arbitrator(s): Ralph A. Cotton, Michael J. Fish, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
| | Expungement |
| 13-03278 | 11/13/2014 | Claimant(s): Patrick Kelly
Claimant Lawyers(s): James C. MacGillis
Respondent(s): Sagepoint Financial., American International Group., SAI Deferred Compensation Holdings.
Respondent Lawyers(s): Corporate Office, Gregory M. Curley
Arbitrator(s): Kevin D. Hofman, Jo Anne F. Lewellen, Kathleen Sweeney Tillotson
Hearing Site: Minneapolis, MN
| | |
| 13-03539 | 10/20/2014 | Claimant(s): Michael Bodnar
Claimant Lawyers(s): Robert Talbot
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | $6,121 |
| 13-01039 | 08/28/2014 | Claimant(s): Norman Frey, Rambling River Ranches.
Claimant Lawyers(s): Bradd L. Milove, Jacob Pyle
Respondent(s): Sagepoint Financial., Robert Achurra, AIG Financial Advisors.
Respondent Lawyers(s): Jesse B. Simpson
Arbitrator(s): David J. Anderson, Linda Jane Jones, Richard R. Edmister
Hearing Site: Las Vegas, NV
| | $731,000 |
| 13-00103 | 04/25/2014 | Claimant(s): Roslyn Grodzin
Claimant Lawyers(s): Joseph Wojciechowski
Respondent(s): Sagepoint Financial., Ronald Smith
Respondent Lawyers(s): Courtney R. Reid, Ronald Smith
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Chicago, IL
| | $42,808 |
| 12-03717 | 07/22/2013 | Claimant(s): Linda Gilliam
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Charles Mason, Sagepoint Financial.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Paul R. Meyer
Hearing Site: Portland, OR
| | Expungement |
| 12-01181 | 04/03/2013 | Claimant(s): Nancy Brown, Nancy F. Brown Trust dated 7/24/1989
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Sagepoint Financial., John Venable
Respondent Lawyers(s): Justin Sacca, Thomas Fleming
Arbitrator(s): Jon C. Milliken, Sally G. Williams, Chad Anthony Franks
Hearing Site: San Diego, CA
| | Expungement |
