20-01977 | 02/11/2022 | Claimant(s): Bryan Montemurro Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Valic Financial Advisors. Respondent Lawyers(s): Carole G. Miller Arbitrator(s): Philip J. Glick Hearing Site: Kansas City, MO
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18-01738 | 01/14/2019 | Claimant(s): Richard Maxey Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Securities America., Valic Financial Advisors. Respondent Lawyers(s): Chad Weaver, Cora E. MacLean Arbitrator(s): Sterling N. Frost Hearing Site: San Francisco, CA
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16-00910 | 01/03/2019 | Claimant(s): Valic Financial Advisors., Variable Annuity Life Insurance Company Claimant Lawyers(s): Matthew I. Pendfield Respondent(s): Brett Laferrera, Jessica Laferrera Respondent Lawyers(s): Jessica Laferrera Arbitrator(s): Steven P. Gregory, Roslyn Barbee, Cynthianther May Hearing Site: Birmingham, AL
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18-02838 | 12/31/2018 | Claimant(s): Stanley Young Claimant Lawyers(s): Stanley E. Young Respondent(s): Timothy Grossman, Valic Financial Advisors. Respondent Lawyers(s): Robert J. Harvey Arbitrator(s): Vicky L. Orem Hearing Site: Baltimore, MD
| | $9,266 |
14-02325 | 05/15/2015 | Claimant(s): Donna Alessio Claimant Lawyers(s): Donna J. Alessio Respondent(s): Valic Financial Advisors. Respondent Lawyers(s): Kortney Farmer Arbitrator(s): Edward R. Hipp, Henry G. Plaster, Harry J. Haynsworth Hearing Site: Norfolk, VA
| | Dismissed by Rule 12206 |
14-01426 | 04/14/2015 | Claimant(s): Scott Coombes Claimant Lawyers(s): Scott Browning Coombes Respondent(s): Carol Reinking, Valic Financial Advisors. Respondent Lawyers(s): Carol Reinking, Kortney S. Farmer Arbitrator(s): Oren L. Connaway, Maurice J. Fallas, Daniel Stephen Dexter Hearing Site: Houston, TX
| | Expungement |
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 |
11-03871 | 02/26/2013 | Claimant(s): Howard Christian Claimant Lawyers(s): Howard J. Christian Respondent(s): Edward McBride, Gregg Libutti, Jeffrey Endicott, AIG Retirement Advisors., Valic Financial Advisors. Respondent Lawyers(s): Debra A. Jenks Arbitrator(s): Robert J. Ambrogi, Edward Aptaker, Susan E. Maloney Hearing Site: Boston, MA
| | $0 |
12-01764 | 02/20/2013 | Claimant(s): Annette Kitchen Claimant Lawyers(s): Annette Kitchen Respondent(s): Valic Financial Advisors. Respondent Lawyers(s): David H. Denboer Arbitrator(s): Charles D. Underwood Hearing Site: Columbus, OH
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10-05681 | 06/21/2012 | Claimant(s): James Gibbs Claimant Lawyers(s): James P. Baker Respondent(s): Max Aten, Valic Financial Advisors. Respondent Lawyers(s): Randall L. Mitchell Arbitrator(s): Sheldon I. Saitlin, Mary A. Duffy, Michael Stephen Knight Hearing Site: Chicago, IL
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