Arbitration Awards Online

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Award Document Case Summary Document Type Forum Date of Award
MS89-88 MUNICIPAL SECURITIES RULEMAKING BOARD In the MARTIN Matter of the Arbitration between H. ELEANOR M. V. DON DALIS BERNSTEIN and BERNSTEIN, and SHEARSON LEHMAN ; Claimants, : BUTTON, INC., : Respondents. : 'r m ^PHie ^990 i'3 ^^•^.:;4 AWARD MS89-88 SC9-034 The Undersigned, pursuant to section 31 of… Award MSRB 04/09/1990
89-02344 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Frank and Patricia Candito Claimant(s) vs. 89-02344 Blinder, Robinson & Co., Inc. and Michael Alterman Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Frank and Patricia Candito alleged that… Award NASD 04/09/1990
89-01393 NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Dorothy A. Petrushka Claimant Case #89-01393 vs. AWARD Individual Securities Ltd., Robert Catoggio and Donrinick Investor Services Corp. Respondents CASE SUWARY Claimant Dorothy A. Petrushka alleged that… Award NASD 04/09/1990
89-01257 NATIONAL ASSOCIATION OF SECURITIES DEALERS^INC. IN THE MATTER OF THE ARBITRATION BETWEEN Vasilios Myrianthopoulos Claimant vs. Case #89-01257 AWARD Merrill Lynch, Pierce, Fenner & Smith (Hellas) L.L.C., Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondents CASE SUMMARY Claimant Vasilios… Award NASD 04/09/1990
90-00049 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Eugene W. Gabriel Claimant(s) vs. 90-00049 Hibbard Brown and Joseph Chester Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Eugene W. Gabriel alleged that Respondent(s) Hibbard Brown and Joseph… Award NASD 04/09/1990
90-00104 I I NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Steve Rubin Claimant(s) vs. 90-00104 Prudential-Bache Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Steve Rubin alleged that Respondent(s) Prudential-Bache Securities, Inc.… Award NASD 04/09/1990
90-00019 NATIONAL ASSOCIATION CF SECURITIES DEALERS In the Matter of the Arbitration Between Herbert W. and Lorraine F. Schlawiedt, Trustees Claimant(s) vs. 90-00019 Doug Barker and Securities Settlement Corp. Respondent(a) NOTICE OF ARBITRATION AWARD CASK SUMMARY Claimant(s) Herbert: W. and Lorraine P.… Award NASD 04/09/1990
90-00081 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David Pollock Claimant(s) ARBITRATION vs. AWARD 90-00081 Prudential-Bache Securities, Inc. and Mark Tasher Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) David Pollock alleged that Respondent(s) Prudential- Bache… Award NASD 04/09/1990
89-01110 NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Robert J. Smyth Claimant vs. Sherwood Capital, Inc., J.T. Moran & Co., Inc. and Scott Toohey Respondents Case #89-01110 AWARD CASE SWfMRY Claimant Robert J. Smyth ("Smyth") alleged that the Respondent… Award NASD 04/09/1990
89-00870 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Dean Witter Reynolds, Inc. Claimant ) vs. _- ) AWARD Ronald Baldwin Respondent ) CASE NO. 89-00870 Heard Before the Members of the Arbitration Panel: Kent Mastores Marion Sperry Robertson Rudy Thorwirth… Award NASD 04/09/1990
90-00735 N.A.S.D. AWARD Arbitration ® National Association of NATIONAL ASSOCIATION OF SECURITIES DEALERS O^E^f B^ar Suite 1000 Ft. Lauderdale, Rorida 33301 in the Matter of the Arbitration Between t 305 ) 522-7391 Name Qf_ClaiiB&nt.fs^ Claire Keneally CASE #90-00735 Name of R&SCCTKtenti f S1 Sally… Award NASD 04/09/1990
90-00018 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between | PaineWebber, Inc. Claimant(s) vs. John T. and Joann Barrett Respondent(s} CASE SUMMARY Claiiitant(s) PaineWebber, Inc. alleged that Respondent(s) John T. and Joann Barrett requested the sale of certain securities… Award NASD 04/06/1990
89-03472 NATIONAL ASSOCIATION OF SECURITIES DEALERS •*- In the Matter of the Arbitration Between Phyllis Shubak Claimant(s) vs. 89-03472 Richard Morris & Carlos Guavara Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Phyllis Shubak alleged that she was charged an early withdrawal fee… Award NASD 04/06/1990
89-03148 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Larry E. Harris Enterprises, Inc. et al Claimant(s) vs. 89-03148 Shearson Lehman Button, Inc. Prudential-Bache Securities, Inc., et al Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Larry E.… Award NASD 04/06/1990
89-03383 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Andrew M. and Nancy J. Germain vs. Fidelity Brokerage Services, Inc. Claimant(s) Respondent(a) NOTICE OF ARBITRATION AWARD 89-03383 CASE SUMMARY Claimant(s) Andrew M. and Nancy J. Germain alleged that Respondent(s)… Award NASD 04/06/1990