For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 89-00080 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between INTEGRATED RESOURCES EQUITY CORP., Claimant, vs. Case 189-00080 Award HENRY F. SIMMS and ELINOR SIMMS, Respondents. Heard before the members of the Arbitration Panel: Leonard H. Davidson, Esq. Judy Avey Leslie… | Award | NASD | 06/13/1990 |
| 89-00800 | NOTICE: An award was rendered in this case, but is not available. | Award | NASD | 06/12/1990 |
| 89-00801 | NOTICE: An award was rendered in this case, but is not available. | Award | NASD | 06/12/1990 |
| 89-00802 | NOTICE: An award was rendered in this case, but is not available. | Award | NASD | 06/12/1990 |
| 88-03414 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) STEVEN F. & SUZANNE B. CALDWELL, JEFFREY J. F, EBY., BRIAN E. PECON, BENJAMIN T, PO., M.D., CHARLES A. RICHARDS, PERVIE B, SIMPSON, JR. AND JOHN G. TUCKER Claimants and PAINEWEBBER. INC. ) CASE NO. 88-… | Award | NASD | 06/12/1990 |
| 89-01825 | NATIONAL ASSOCIATION OF SECURITIES DEALER", INC. In the Matter of the Arbitration Between Jack Diamond vs. Claimant Douglas Breraan & Co. David Wagner Respondents CASE *89-01825 AWARD CASE SUMMARY Claimant alleged that Respondents made unsuitable investments and failed to advise him of the… | Award | NASD | 06/12/1990 |
| 87-02045 | Volume. p{,_, Number Y Ye;ir 9t NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Stephen R. Fellows and PaineWebber Incorporated Claimant(s) Respondentis) CASE NO, 87-02045 CASE SUMMARY Stephen A. Fellows ("Claimant") alleged that an agent of PaineWebber… | Award | NASD | 06/12/1990 |
| 88-03407 | Region.Xr -a NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) STEVEN F, & SUZANNE B. CALDWELL, JEFFREY J. F. EBY., BRIAN E. PECON, BENJAMIN T. PO., H.D., CHARLES A. RICHARDS, PERVIE B. SIMPSON, JR. AND JOHN G. TUCKER and PAINEWEBBER, INC. Claimants CASE… | Award | NASD | 06/12/1990 |
| 89-00427 | NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Albert J. Serrero AWARD Claimant 189-00427 vs. Robert Thomas Securities, Inc. Raymond James & Associates Forrest C. Woods, Jr. Respondents In the Matter of the Arbitration Between Don Walker AWARD Claimant #89-… | Award | NASD | 06/12/1990 |
| 89-00952 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In t'.-.e ;l=c*:°r of the Arbitration Between •jj.N'- Dorland, Claimant, ompany and • ^ 1 Respondent s Case #89-C>0952 Award ?ard br'cre the members of the Arbitration Panel: ".er-ar.'ie r T1 tman , Esq . zx - \ 1 . Clark 1. ?.^5i",=Wagner CASE… | Award | NASD | 06/11/1990 |
| 90-11 | AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN -SE: Mayer Beasenberq v. Muriel Siebert 4-^0-lA \TE FILED: 11/21/89 FIRST SCHEDULED 5/25/90 DECIDED 5/25/90 -.SE SUMMARY: * Claimant alleges inproper execution of his options order. ..AIMANT'S INITIALS ASSIGNS: SX RESPONDENT'S i^l THIRD… | Award | AMEX | 06/11/1990 |
| 89-02114 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bobby Jew Claimant vs. Wakefield Financial Corporation Wall Street Clearing Company Alexander Minella Parsons Eng Respondents Michael Carber and Terry Akers AWARD #89-02114 Case Summary ' Claimant Bobby Jew alleged… | Award | NASD | 06/11/1990 |
| 90-00123 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert G. Frey Claimant(s) vs. 90-00123 Cecelia Carter and Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert G. Frey alleged that Respondent(s) Cecelia… | Award | NASD | 06/11/1990 |
| 90-00092 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gregory and Julia Agamy Claimant(s) vs. Shearson Lehman Hutton, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 90-00092 CASE SUMMARY Claimant(s) Gregory and Julia Agamy alleged that Respondent(s) Shearson Lehman… | Award | NASD | 06/11/1990 |
| 88-02248 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ronald T. and Carolyn Steinberg Claimant vs. Philips, Appel & Walden, William FranJcel & Co., and Broadcort Capital Corp. Respondents OATH AND AWARD OF ARBITRATOR 88-02248 Having been selected as an… | Award | NASD | 06/11/1990 |