Arbitration Awards Online

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Displaying 64156 - 64170 of 66012
Award Document Case Summary Document Type Forum Date of Award
89-00179 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Daniel S. Whiteman, Jr. vs. The Vanguard Group, Inc. Claimant AWARD Respondent CASE I 89-00179 CASE SUMMARY Claimant asserts Respondent failed to place certain option transactions as instruction. Respondent… Award NASD 03/30/1990
89-01007 NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Haze) N. Bullock Claimant vs. Case *89-01007 AWARD Kevin Houser Respondent CASE SIM4ARY Claimant Hazel N. Bullock asserts that between March 1984 and July 1986 she invested $32,965.64 with her Investment… Award NASD 03/30/1990
89-01215 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Frances Lucha vs. Shearson Lehman Mutton, Inc. Jack Klein Claimant Respondents CASE *89-01215 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 25, 1989… Award NASD 03/30/1990
89-00861 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Walter & Marilyn Grace Claimants vs. Prudential-Bache Securities, Inc. and Charles T. Giambrone Respondents CASE SUWARY Case #89-00861 AWARD This proceeding was commenced initially on March 20, 1989 by… Award NASD 03/30/1990
89-03180 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lorraine F. O'Connell Claimant(s) vs. Prudential-Bache Securities, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD 89-03180 CASE SUMMARY Claimant(s) Lorraine F. O'Connell alleged that Respondent(s) Prudential-Bache… Award NASD 03/30/1990
89-02925 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard P. Jones Claimant(s) vs. 89-02925 Sprung & Wise Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Richard P. Jones alleged that Respondent(s) Sprung & Wise… Award NASD 03/30/1990
89-03292 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lawrence E. Jamieson Claimant(s) vs. 89-03292 Judith Petrovich and First Philadelphia Investment Group Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Lawrence E. Jamieson alleged that Respondents… Award NASD 03/29/1990
89-02363 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Daniel Rainford Claimant(s} vs. Equities International, Inc., Anthony Havens and John Connelly Respondent(s) NOTICE OP ARBITRATION AWARD 89-02363 CASE SUMMARY Claimant(s) Daniel Rainford alleged that Respondent(s)… Award NASD 03/29/1990
88-03943 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jacquelyn Reinach Claimant vs. Margaretten Securities Corporation Ellen Margaretten Burton Blank Respondents AWARD #88-03943 Case Summary Claimant Jacquelyn Reinach alleged that Respondents exposed her to great… Award NASD 03/29/1990
88-03755 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between" Leonard & Florence Furman Claimants vs. Prescott, Ball & Turben, Inc. Richard Simmer Warren Bruce Respondents AWARD #88-03755 Case Summary Claimants Leonard and Florence Furman (hereinafter the "Claimants… Award NASD 03/29/1990
88-03908 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between RICHARD RICE Claimant and ) ) CASE NO. 88-03908 GENERAL SECURITIES CORPORATION and BILL BAUM Respondents CASE SUMMARY In a claim filed with the NASD on or about December 12, 1988, Claimant Richard Rice alleged… Award NASD 03/29/1990
89-01071 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Paula J. Ponte Claimant(s) vs. 89-01071 PaineWebber, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Paula J. Ponte alleged that Respondent(s) PaineWebber, Inc. made misrepresentations.… Award NASD 03/29/1990
89-00620 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF ^ARBITRATION BETWEEN Marmelo Farms, Inc. Claimant vs. Case #89-00620 AWARD Merrill Lynch, Pierce, Fenner & Smith, Inc. and George G. Riles Respondents CASE 5UWARY This proceeding was commenced initially on March 23, 1989 by… Award NASD 03/29/1990
88-02194 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) R. WAYNE & DIE A. BROWN OTTEN ) Claimants ) and ) ) CASE NO. 88-02194 CHARLES SCHWAB & CO., INC. ) ) Respondent ) CASE SUMMARY In their claim with the NASD on or about July 11, 1988 Claimants R.… Award NASD 03/28/1990
88-02160 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) BERNARD R. KOEHNE ) Claimant ) and - ) ) CASE NO. 88-02160 SHEARSON/AMERICAN EXPRESS, INC. AND ) RICHARD G. RALPH ) } Respondents CASE SUMMARY In a claim filed with the NASD on or about July 7, 1988,… Award NASD 03/28/1990