| 18-02210 | 10/17/2018 | Claimant(s): Howard King
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): Thomas Vays
Arbitrator(s): Jeffry L. Perlman
Hearing Site: Washington, DC
|  | $44,100 |
| 18-01166 | 09/17/2018 | Claimant(s): Glynis Molloy
Claimant Lawyers(s): Glynis Molloy
Respondent(s): Robert Berg, Summit Brokerage Services.
Respondent Lawyers(s): Robert Eugene Berg, Thomas Vays
Arbitrator(s): Cynthia A. DiMarco
Hearing Site: New York, NY
| | $16,825 |
| 16-00670 | 12/27/2016 | Claimant(s): Jennifer O'Pry, Russell O'Pry
Claimant Lawyers(s): Jennifer O'Pry, Russell O'Pry
Respondent(s): Robert Omohundro, J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Scott N. Sherman, Thomas Vays
Arbitrator(s): Linda M. Granata, Fredrick T.W. Reed, Cheryl Lynn Nikonovich-Kahn
Hearing Site: Atlanta, GA
| | Expungement |
| 09-03694 | 11/12/2014 | Claimant(s): Jack Robbins, Myrna Robbins
Claimant Lawyers(s): Michael S. Finkelsetein
Respondent(s): Eric Kash, James Ackerman, Basic Investors Inc.
Respondent Lawyers(s): Alex D. Widell, Richard Belz, Thomas Vays
Arbitrator(s): Lise Gabrielle Hunter, Mark Mendley, Thomas A. Abitabile
Hearing Site: New York, NY
| | $300,000 |
| 12-02966 | 01/06/2014 | Claimant(s): Robert Schneider
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): John Chmielewski, Investment Planners.
Respondent Lawyers(s): Thomas Vays
Arbitrator(s): John R. Loss
Hearing Site: St. Louis, MO
| | Expungement |
| 11-01017 | 06/25/2012 | Claimant(s): 4R Partnership, by Jon Roberts, Partner, C. Marvin Trust, Trustee
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): David Schrager, Woodstock Financial Group.
Respondent Lawyers(s): Thomas Vays
Arbitrator(s): James E. Michaels, James A. Hayes, Ken L. Andersen
Hearing Site: Omaha, NE
| | $75,000 |
| 10-05310 | 11/25/2011 | Claimant(s): Gerald Elsner, Linda Elsner
Claimant Lawyers(s): John Ogles
Respondent(s): Jeffrey Reeves, Roger Clement, Proequities.
Respondent Lawyers(s): Thomas Vays
Arbitrator(s): Frances S. Fendler, Eric Spencer Buchanan, Matthew R. Salamon
Hearing Site: Little Rock, AR
| | $63,199 |
| 09-00795 | 04/04/2011 | Claimant(s): Joseph Neira
Claimant Lawyers(s): Gary N. Moss
Respondent(s): Michael Hartzman, Randi Mason, Bristol Financial Services., J.P. Morgan Clearing Corp., Northeast Securities.
Respondent Lawyers(s): Charles M. O'Rourke, Steven B. Feigenbaum, Thomas Vays
Arbitrator(s): Judith E. Gross, John Franklin Udochi, Martin A. Edelstein
Hearing Site: New York, NY
| | Expungement |
