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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 89-03175 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) STEPHEN FICANO, ) Claimant, ) Case No. 39-03175 vs . ) ) Award ALLIED CAPITAL GROUP, INC., ) ROBERT SCONZO. ) Respondents, ) Heard before the members of the Arbitration Panel: Joseph L. Bernstein, Esq. Mr.… | Award | NASD | 08/09/1990 |
| 89-02074 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) GARY R. and ROBERT J. SNYDER. ) Claimants. ) Case 89-02074 vs. ) Award ) PRUDBNTIAL-BACHE SECURITIES, INC. ) and CRAIG ADAMS, ) Respondents . ) Heard before the members of the Arbitration Panel: Casey W.… | Award | NASD | 08/09/1990 |
| 89-02650 | N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of John A. MzMullen 89-02650 Fldelity Brokerage Services, inc. Claimant option holder alleged that Respondent discount broker failed to disclose the precise terms regarding a tender offer by KKR… | Award | NASD | 08/09/1990 |
| 90-00693 | o- o N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbituration Bet:ween ~ msfs of Claimantfs^ Rose Jacobson and Joan Astrin 89-03379 & 90-00693 (consolidated cases; Name of Restxandent f s ^ Fuhrman Matt Securities, Inc. Mark Scheinbaum o CASE SUMMARY Claimant… | Award | NASD | 08/09/1990 |
| 90-00316 | NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Grace G. Reitano Claimant(s) vs. 90-00316 Pittock Financial Corp., Power Securities and RFC Clearing and Paying Agent Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Grace G. Reitano alleged that… | Award | NASD | 08/09/1990 |
| 90-00109 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Donald F. Woods Case #90-00109 Claimant AWARD VS . A.G. Edwards & Sons, Inc. Respondent CASE SUMMARY Claimant, Donald F. Woods, alleged that Respondent, .A.G. Edwards & Sons, Inc., breached its… | Award | NASD | 08/08/1990 |
| 90-00230 | N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Janet Brady Claimant AWARD #90-00230 Prudent 1 al-Bache Securities Inc. Gregg P™nvi^ Respondents Claimant alleged that the Respondents executed an authorized unsuitable options trade in her account,… | Award | NASD | 08/08/1990 |
| 90-16 | AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN CUSTOMER V. MEMBER "•NSE EVELYN B. ADAMS V. PAINEWEBBER, INC. & CHRISTOPHER HODGES ^^0-lft? DATE FILED: J!larcil_i*_Laa9 FIRST SCHEDULED Feb 8, 1990 DECIDED July 18, 1990 ., «,«T,« • Claimant alleges fraud, unsuitability, negligence… | Award | AMEX | 08/07/1990 |
| 89-02455 | N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert N. White 89-02455 Name of The Stuart James Company, Inc. Anthony Byrne Christopher Murray CASE SUMMARY Claimant Robert N. White alleged that Respondents The Stuart James Co., Inc., Anthony… | Award | NASD | 08/07/1990 |
| 90-01353 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gerald Bitman Claimant(s) vs. 90-01353 Bear, Stearns & Co., Inc. and Stuart, Coleman & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Gerald Bitman alleged that Respondent(s)… | Award | NASD | 08/07/1990 |
| 90-00355 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mike A. Klinglesmith Claimant(s) vs. 90-00355 Dominick and Dominick, Inc. and Wayne W. Ratliff Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Mike A. Klinglesmith alleged that Respondent(s)… | Award | NASD | 08/07/1990 |
| 88-03182 | DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN James E. & Margaret J. Shrader Clainiants vs. The Pinnacle Group, Lee Folger III and J.C. Bradford & Company Respondents Case #88-03182 AWARD Claimants James E. & Margaretxf. Shrader ("Claimants") alleged that Respondents The… | Award | NASD | 08/07/1990 |
| 90-01096 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael E. Martin Claimant(s) vs. 90-01096 J.F. Lowe & Co., Inc., J.F. Lowe and Chris Boeckhaus Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Michael E. Martin alleged that Respondent(s) J.F… | Award | NASD | 08/06/1990 |
| 89-01523 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of tht Arbitration Between GEORGE AND BELLE COOPER. vs. DREXEL BRUNHAM LAMBERT, INC. and RICHARD E. GARCIA, Claimants, ) Case #89-01523 Respondents. Award Heard before the members of the Arbitration Panel: George R. Canty Jr. Eduardo J… | Award | NASD | 08/06/1990 |
| 90-00871 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter Dale Legg and ] of the Arbitration Between and Virginia Campbell vs. Claimant(s) Mason Wood Walker, Inc. Donald L. Lomax Respondent(s) NOTICE OF ARBITRATION AWARD 90-00871 CASE SUMMARY Claimant(s) Dale and Virginia Campbell alleged that… | Award | NASD | 08/06/1990 |