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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 88-00305 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) ) DANIEL F. WITHALL and DANIEL E. WIIHALL } D.V.M., P.C. ) Claimants ) NASD NO. 83-00305 v. ) LINDA L. SOKOL and WADDELL & REED, IN. } Respondents ) CASE SUMMARY Daniel F. Withall and Daniel F. Withall, D.7.… | Award | NASD | 05/21/1990 |
| 88-02397 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Albert Cooperman Claimant vs. Wedbush Securities, Inc. Respondent Case 188-02397 AWARD CASE SUMMARY Claimant asserts an order transaction was not appropriately handled. Respondent asserts account was handled… | Award | NASD | 05/21/1990 |
| 90-00287 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant(s) vs. Thomas J. Bieker Respondent(s) NOTICE OF ARBITRATION AWARD 90-00287 CASE SUMMARY Claimant(s) Charles Schwab & Co., Inc. alleged that Respondent(s) Thomas J. Bieker… | Award | NASD | 05/21/1990 |
| 89-00578 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jerry Wayne Wiley Claimant vs. AWARD #89-00578 Morgan Gladstone Investment Bankers, Inc. Respondent Case Summary Claimant Jerry Wayne Wiley alleged he placed an order on June 5, 1987 with Respondent Morgan Gladstone… | Award | NASD | 05/21/1990 |
| 89-01094 | Volume,^,, Xaiiih^i-^^^^ NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. Richard McKinley Respondent AWARD CASE NO. 89-01094 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers,… | Award | NASD | 05/18/1990 |
| 89-02498 | NOTICE: An award was rendered in this case, but is not available. | Award | NASD | 05/18/1990 |
| MS89-63 | MUNICIPAL SECURITIES RULEMAKING BOARD mm ^^f 21 1990 f ,1 ^I? ?N ?> In J. th B. e Matter v. HANAUER 0 8c f th CO. e Ar and bitrat DAVID ion between t B. Claimants, : MOORE, Respondents. AWARD MS 89-63 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE… | Award | MSRB | 05/18/1990 |
| 89-01461 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) In the Matter of the Arbitration Between ) Richard and Phyllis Haley Claimants ) vs. ) AWARD PaineWebber, Inc. and Respondents ) CASE NO. 89-01461 Donald Steelier ) ) SUMMARY OF ISSUES This case was filed on May 16, 1989. Claimants alleged that: I… | Award | NASD | 05/18/1990 |
| 88-02673 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) RANDELL BROWNING ) Claimant } and ) _ ) CASE Nd. 88-02672..,,.. - SMITH BARNEY, HARRIS UPHAM & CO., INC. ) Respondent CASE SUMMARY { Randell Browing ("Claimant") alleged that Smith Barney, Harris Upham… | Award | NASD | 05/18/1990 |
| 89-01049 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Robert Rosario Claimant ) vs. ) AWARD Fahnstock & Co., Inc. Respondent ) CASE NO. 89-01049 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on… | Award | NASD | 05/18/1990 |
| 88-03423 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Raymond Limansky, M.D. Claimant ) vs. ) Shearson Lehman Hutton, Inc. Respondent ) ) AWARD CASE NO. 88-03423 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("… | Award | NASD | 05/18/1990 |
| 89-00682 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) OPPENHEIMER 4 CO., INC. ) ) Claimant ) and ) ) CASE'NO. 89-00682 GREGORY HARRINGTON ) ) Respondent ) CASE SUMMARY Oppenheimer & Co., Inc. ("Claimant") alleged that Gregory Harrington ("Respondent")… | Award | NASD | 05/18/1990 |
| 90-07 | AMERICAN STOCK IN THE MATTER OF ARBITRAT. ^TWEEN MICHAEL WOLFF V. COWEN & CO. ~* ^0 -on wTE FILED: 7/27/88 FIRST SCHEDULED >i/37/9o DECIDED '1 /:;"/ / 9 0 iSE SUMMARY:* Customer v. member small claims dispute. Claimant allegea Respondent member firm effected an options trade which resulted… | Award | AMEX | 05/17/1990 |
| 89-02786 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) •\ Patricia Ross VS. Dean Witter Reynolds, Inc. i Claimant/ ) Counter- ) Respondent ) ) Respondent/ ) Counter- ) Claimant ) AWARD CASE NO. 89-02786 SUMMARY OF ISSUES This case was filed on October 10, 1989.… | Award | NASD | 05/17/1990 |
| 89-03319 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kathleen Harper Claimant(s) vs. 89-03319 Tom Morin Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Kathleen Harper alleged that Respondent(s) Tom Morin made misrepresentations and failed to… | Award | NASD | 05/17/1990 |