Arbitration Awards Online

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Displaying 64156 - 64170 of 66119
Award Document Case Summary Document Type Forum Date of Award
89-03443 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PaineWebber, Inc. Claimant(s) vs. 89-03443 Kyle E. Marburger Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) PaineWebber, Inc. alleged that Respondent(s) Kyle E. Marburger has not paid Claimant… Award NASD 04/18/1990
89-01974 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) HOMER F. PITTMAN ) Claimant ) v. ) NASD NO. 89-01974 OARYL PARIS ) Respondent ) CASE SUMMARY Homer Pittman ("Claimant") alleges that Daryl Paris ("Respondent") did not execute a sell order upon Claimant… Award NASD 04/18/1990
89-02593 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Narhari J. Patel Claimant(s) vs. 89-02593 Kennedy, Cabot & Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Narhari J. Patel alleged that Respondent(s) Kennedy, Cabot & Co. stopped all… Award NASD 04/18/1990
89-01820 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of -the Arbitration Between ) Jeffrey Alan Feldman Claimant ) vs. ) AWARD Charles Schwab & Co., Inc. Respondent ) CASE NO. 89-01820 SUMMARY OF ISSUES This case was filed on June 23, 1989. Claimant Jeffrey Alan Feldman alleges that… Award NASD 04/18/1990
89-01004 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Victor Hanson Claimant ) ) vs. ) AWARD ) Power Securities, Inc. Respondent ) CASE NOS. JJ9-Q,IQ.Q4 ) 89-01017 SUMMARY OF ISSUES These cases were filed on April 4, 1989. On December 19, 1989, the cases were… Award NASD 04/18/1990
89-00416 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Orlan & Jean Wood Claimants ) vs. ) AMENDED AWARD Shearson Lehman Mutton, Inc. Respondent ) CASE NO. 89-00416 SUMMARY OF ISSUES This case was filed on February 13, 1989. Claimants alleged that Respondent… Award NASD 04/18/1990
89-00894 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Peter A. Crebbin Claimant ) ) vs. ) AWARD ) Steinberg & Lyman and Respondents ) CASE NO. 89-00894 Brendan King } SUMMARY OF ISSUES This case was filed on March 21, 1989. Claimant Peter A. Crebbin… Award NASD 04/18/1990
89-01518 NATJORtffiiBOCtATlOM OF SECURITIES DEALERS, INC. in tnt Mftitr or tnt Arbitration 9ttwten LARRY 0. L1LE Claimant and CASE NO. 39-01523 ALLIED CAPITAL GROUP, INC. Respondent CASE SUMMARY In • claim filed with tht NASO en or about May IS, 1989, CUIamt Urry 0. Lilt (•CUlBMt") alleged that Respondent… Award NASD 04/17/1990
89-01714 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration B e t w e e n ) ) Award Sheldon L. Goldstein, Trustee Claimant ) ) NASD No. 89-01714 vs. ) Dean Witter Reynods, Inc. Respondents Alan R. Lyons SUWARY OF ISSUES This case was filed on June 12, 1989. Claimant alleged… Award NASD 04/17/1990
90-00068 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Hugh M. Robinson Claimant(s) vs. Monmouth Investments, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 90-00068 CASE SUMMARY Claimant(s) Hugh M. Robinson alleged that Respondent(s) Monmouth Investments, Inc. made… Award NASD 04/17/1990
88-03798 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Philip L. Wright, Individually Claimant and as Surviving Joint Tenant of Margaret H. Wright vs. Shearson Lehman Brothers and Alan Saretsky ) Respondents ) / AWARD CASE NO. 88-03798 SUMMARY OF ISSUES This case… Award NASD 04/17/1990
90-00223 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Sidney S. and Milica S. Chernick Claimant(s) vs. Stuart James Co. Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 90-00223 CASE SUMMARY Claimant(s) Sidney S. and Milica S. Chernick alleged that Respondent(s) Stuart… Award NASD 04/17/1990
89-01762 NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Qppenheimer & Co., Inc. Case #89-01762 Claimant AWARD vs. Franz Wollsperger Respondent CASE SUMMARY Claimant Oppenheimer & Co.. Inc. alleged the Respondent Franz Wollsperger tendered payment by check… Award NASD 04/16/1990
89-01866 NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In th« Matter of the Arbitration Between ROBERT J. and RITA P. SLATKOV, Claimantfl, vs. MERRILL LYNCH, PIERCE, FENNER 6 SMITH, INC., Reipondtnt. Case #89-01866 Award Heard before the Arbitrator: Leonard H. Davidson, Esq. CASE SUMMARY This claim wai… Award NASD 04/16/1990
88-03241 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert Strauss & Doris J. Strauss Claimants vs. Susan Everett Quick & Reilly, Inc. Respondents AWARD #88-03241 Case Summary Claimants Robert & Doris J. Strauss (hereinafter "Claimants") alleged that on… Award NASD 04/16/1990