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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 88-00633 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Isaak Dore, Stanislaw Frankowski , ) Jesse Goldner, and Judith Cromwell ) ) Claimants ) ) CONSOLIDATED and ) CASE NOS. 88-00631, 88-00632 ) and 88-00633 Blinder, Robinson & Co., Inc. ) and Roland Levi… | Award | NASD | 05/15/1990 |
| 88-00632 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Isaak Core, Stanislaw Frankowski , } Jesse Goldner, and Judith Cromwell ) Claimants ) ) CONSOLIDATED and ) CASE NOS. 88-00631, 88-00632 ) and 88-00633 Blinder, Robinson & Co., Inc. ) and Roland Levi… | Award | NASD | 05/15/1990 |
| 88-00631 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Isaak Oore, Stanislaw Frankowski, ) Jesse Goldner, and Judith Cromwell ) ) Claimants ) ) CONSOLIDATED and ) CASE NOS. 88-00631, 88-00632 ) and 88-00633 Blinder, Robinson & Co., Inc. ) and Roland Levi… | Award | NASD | 05/15/1990 |
| 89-03015 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Monty Fein Claimant(s) vs. 89-03015 Easter Kramer Group Securities Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Monty Fein alleged that Respondent(a) Easter Kramer Group Securities Inc.… | Award | NASD | 05/15/1990 |
| 89-01730 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) CECIL R. & IVA M, COHEN ) Claimants ) and ) ) CASE NO. 89-01730 CHARLES SCHWAB & COMPANY, INC. ) ) Respondent ) CASE SUMMARY In a claim filed with the NASD on or about June 8, 1989, Claimants Cecil R… | Award | NASD | 05/15/1990 |
| 89-01633 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Georgia L. Brooks ) & DavM Brooks Claimants ) ) vs. ) AWARD ) Bateman Eichler, Hill ) Richards, Inc., & Myles Morley Respondents ) CASE NO. 89-01633 SUWARY OF ISSUES Claimants alleged Respondents… | Award | NASD | 05/15/1990 |
| 89-01304 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Raymond G. Sanchez Claimant(s) vs. 89-01304 Hyder & Co., Inc. and John Nuveen & Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Raymond G. Sanchez alleged that Respondent(s) Hyder… | Award | NASD | 05/15/1990 |
| 89-01415 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Cowen & Co. Claimant vs. Case *89-01415 AWARD John Andrews Respondent CASE SUWARY This claim was commenced initially on May 15, 1989 by Claimants Cowen & Co. ("Cowen") against Respondent John Andrews… | Award | NASD | 05/15/1990 |
| 89-01501 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between DAVID BUDIN, Claimant, vs. INDIVIDUAL SECURITIES, LTD. STEPHEN SCHWARTZ. DOMINICK & DOMINICK, INC.. and DOMIKICK INVESTIOR SERVICES CORPORATION. Respondents. Case #89-01501 Award Heard before the member of… | Award | NASD | 05/15/1990 |
| 89-01498 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Arthur Samuels, Sr. and Claimants ) Dee Samuels ) VS. PaineWebber,Inc. and Stephen H. Akin Respondents ) AWARD CASE NO. 89-01498 SUMMARY OF ISSUES Claimants alleged that Respondents recommended and placed… | Award | NASD | 05/15/1990 |
| 88-02992 | NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Hemeed Akhtar vs. Claimant Case #88-02992 AWARD Buttonwood Securities Corp. George Hotz Merrill Lynch, Pierce, Fenner & Smith, Inc. Broadcort Capital Corp. Respondents CASE SUWARY Claimant Heroeed Akhtar… | Award | NASD | 05/15/1990 |
| 89-03563 | p NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Crystal Eng Claiinant ( s ) vs . Regional Clearing Corp. Respondent(s) NOTICE OF ARBITRATION AWARD 89-03563 CASE SUMMARY Claimant{s) Crystal Eng alleged that Respondent{s) Regional Clearing Corp. caused Claimant… | Award | NASD | 05/14/1990 |
| 88-03898 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Robert W. Meyer Claimant vs. Prudential-Bache Securities, Inc. Respondent Case 188-03898 Award CASE SUMMARY Claimant Robert Meyer alleged the Respondent Prudential-Bache Securities, Inc., through its employee… | Award | NASD | 05/14/1990 |
| MS90-13 | ,ir-Mt, %^UNICIPAL SECURITIES RULEMAKING BOARD f In the Matter of the Arbitration Between ALBERT J. MOLTER and VIVIAN R. MOLTER, Claimants, V. A.G. EDWARDS & SONS, INC., Respondent. «« 81 IMO l.ia.9L AWARD : MS90-13 : SCO-008 The undersigned, pursuant to section 31 of MSRB rule G-35, hereby… | Award | MSRB | 05/14/1990 |
| 88-00496 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Robert Leach Claimant ) ~$. ) AWARD ) Oppenheimer & Co., Inc., Respondents ) CASE NO. 88-00496 Oppenheimer Capital Corporation, ) Quest for Value Dual Purpose Fund, ) Inc., Arthur K. Ward and Kurt W… | Award | NASD | 05/14/1990 |