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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 88-01562 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Sherry Fallenstein Claimant(s) vs. AWARD ) CASE #88-01562 Prudential-Bache Securities and Randy Brandt Respondent(s) SUMMARY OF ISSUES This case was filed on May 13, 1988. Claimant maintained a margin account with Respondent's Phoenix office. The… | Award | NASD | 12/19/1989 |
| 88-03298 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Christine Remsen Claimant ) ) ) AWARD ) CASE #88-03298 vs. ) Emillia Kato, Private Ledger Financial Respondents ) Services, Inc. and Associated Planners ) Securities Corporation ) SUMMARY OF ISSUES This case was filed on October 24, 1988. Claimant… | Award | NASD | 12/19/1989 |
| 88-02575 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AWARD Steven Lehrhoff Claimant(s) ) CASE #88-2575 vs. Prudential-Bache Securities Respondent(s) ) and Randy Brandt ) ) SUWARY OF ISSUES This case was filed on August 15, 1988. Claimant alleges that he made a deposit of $6,000.00 to his margin account… | Award | NASD | 12/19/1989 |
| 88-02583 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) GEORGE i JEAN CUMMINS, TRUSTEES ) Claimants ) ) Case 188-02583 vs. ) Award ) FIRST JERSEY SECURITIES, INC., } ROBERT E. BRENNAN and ) JAMES MAKELY ) Respondents. ) Heard before the members of the… | Award | NASD | 12/19/1989 |
| 88-02905 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) TED and SUSAN MALKASIAN, ) Claimants, } ) Case #88-02905 vs. ) Award ) FIDELITY BROKERAGE SERVICES. INC. ) and BARBARA GROSS, ) Respondents. ) ) Heard before the members of the Arbitration Panels Steven R… | Award | NASD | 12/19/1989 |
| 87-02538 | NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between DEAN WITTER REYNOLDS. INC., Claimant, vs . CHRIS AND NADIA HIONIDES. Respondents Case /87-02538 Award Heard befort; the members of the Arbitration Panel: Guy E. (Sandy) Burnette, Esq. Sam Giunta Joseph G.… | Award | NASD | 12/18/1989 |
| 89-00575 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert Blumenthal Claimant vs. J.T. Moran & Company, Inc. Frank Fischer Gerald Hirschhorn Respondents CASE #89-00575 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers… | Award | NASD | 12/18/1989 |
| 87-01381 | NATIONAL ASSOCIATION 0? SECURITIES DEALERS, INC. In the Matter of the Arbitrations Between V «> M —. • V « —««»—«•—» — ™— •"••••™*™«*-*»«*"»»»«W«»^«»«»»™»»» — — ,,^^• »*•»• ^ • •• • • 1 TOM and PATRICIA TRUEDSON, Claimants, vs. PRUDENTIAL-BACHE SECURITIES, INC., JOHN G. KENNING and JOHN… | Award | NASD | 12/18/1989 |
| 87-01380 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitrations Between TOM and PATRICIA TRUEDSON, Claimants, vs. PRUDENTIAL-BACHE SECURITIES, INC.. JOHN G. KENNING and JOHN CARPENTER. DENNIS DOBES, vs. PRUDENTIAL-BACHE SECURITIES, INC., JOHN G. KENNING and JOHN CARPENTER,… | Award | NASD | 12/18/1989 |
| 87-01379 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitrations Between TOM and PATRICIA TRUEDSON, Claimants, vs. PRUDENTIAL-BACHE SECURITIES, INC.. JOHN G. KENNING and JOHN CARPENTER. DENNIS DOBES, vs. PRUDENTIAL-BACHE SECURITIES, INC., JOHN G. KENNING and JOHN CARPENTER.… | Award | NASD | 12/18/1989 |
| 88-02685 | M- V < NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of Arbitration Between ELIAS I. FRANSES and NIEN-HHA LINDA WANG Claimants v. NASD NO. 88-02685 ELIYAHUE M. ROUSSOS and EMR ENTERPRISES Respondents ) CASE SUWARY In a claim filed on or about August 23, 1988, the Claimants… | Award | NASD | 12/18/1989 |
| 88-01471 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Betveen ) ) S. DAVID THORPE, ) -~ Claimant, ) ) Case 188-01471 vs . ) Award . ) . P. D. ROBERTS, INC., JOHN OEHL, ) HERZOG, HEINE CEDULD, INC., and ) J. MORGAN FINANCIAL SERVICES. ) Respondents. ) Heard before the… | Award | NASD | 12/18/1989 |
| 87-01596 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John V. DeMais Dorthy L. DeMais Claimants ' Award 87-01596 vs. Brooks Weinger Robbins & Leads, Inc. George Fairweather Securities vs. Denton & Co., Inc. Respondents The undersigned, being the arbitrator… | Award | NASD | 12/18/1989 |
| 88-02445 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Michael Yee, Wai Chit Tarn, Claimants ) Teresa Yee Chau & Christina Yee ) vs. CASE NO. 88-02445 Drexel Burnham Lambert, Inc Respondents PaineWebber, Inc. ) Lance Cummings } SUMMARY OF ISSUES This case was… | Award | NASD | 12/18/1989 |
| 88-03591 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Glenn White Claimant ) Award vs. ) CASE NO. 88-03591 Amerimutual Corporation Respondent ) SUWARY OF ISSUES This claim was filed on November 18, 1988. Claimant alleged the following: failure to execute an… | Award | NASD | 12/18/1989 |