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FINRA Awards for Thomas D. Tays

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0412312/16/2011Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Sean G. Duffy
Respondent(s): Chad Sillman, U.S. Bancorp Investments.
Respondent Lawyers(s): Akke Levin
Arbitrator(s): Thomas D. Tays, Steven K. Lum, Philip H. Marmurowski
Hearing Site: Las Vegas, NV
09-0011008/11/2010Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Martin Vanamen
Respondent Lawyers(s): Martin Johanne Vanamen
Arbitrator(s): Thomas D. Tays, David M. Seidner, Suzanne M. Dallimore, P.C.
Hearing Site: Salt Lake City, UT
07-0166211/24/2008Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Gregory Simon
Respondent(s): Donna Shurot
Respondent Lawyers(s): Donna Shurot
Arbitrator(s): Thomas D. Tays, Thomas P. Delnoce, James W. Warren
Hearing Site: Phoenix, AZ

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