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 |
07-01334 | 01/06/2011 | Claimant(s): Kayvan Karoon Claimant Lawyers(s): Thomas Vays Respondent(s): Shawn Arlauckas, Financial Network Investment Corporati Respondent Lawyers(s): Shawn Arlauckas, Thomas Vays Arbitrator(s): Fred S. Pieroni, Robina Fedora Asti, Anthony P. Connolly Hearing Site: Newark, NJ
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08-01353 | 11/12/2008 | Claimant(s): Katherine Knowlden-Ryerson Claimant Lawyers(s): Katherine C. Knowlden-Ryerson Respondent(s): Primevest Financial Services. Respondent Lawyers(s): Thomas Vays Arbitrator(s): Joseph O'Donnell Hearing Site: Baltimore, MD
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