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 |
|---|---|---|---|---|
| 90-00477 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marcia Churchill Claimant(s) vs . 90-00477 Shearson Lehman Brothers, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Marcia Churchill alleged that Respondent(s) Shearson Lehman Brothers, Inc… | Award | NASD | 09/06/1990 |
| 90-00758 | N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEM£RS In the Matter of the Arbitration Between Lawrence C. Rabinowitz custodian Dayna R. Rabinowitz 90-00758 Name of R^mndeaitLfflN Gruntal & Co., Inc. Norman Raymond Claimant, Lawrence Rabinowitz, alleged that Respondent, Norman Raymond,… | Award | NASD | 09/05/1990 |
| 89-01931 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. * In the Matter of the Arbitration Between * James W. Near * Claimant * CASE #89-01931 * AWARD vs. * PaineWebber, Inc. and John R . Stewart * Respondents * CASE SUMMARY Claimant, James Near alleged that Respondent, John "*R." Stewart, by acting as… | Award | NASD | 09/05/1990 |
| 89-00559 | N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Thonas Ned and Barbara Anderson 89-00559 Name of Respondent Brad Doolittle The Colonial Group of Mutual Funds, Inc. Institutional Asset Management CASE SOMURT Thomas Ned and Barbara Anderson ("… | Award | NASD | 09/05/1990 |
| 89-01874 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Goddard Associates, Inc. Claimant ) AWARD ) vs. ) CASE #89-01874 ) Paine Webber Jackson & Curtis, ) Inc. and Robert Peisner Respondents ) ) SUMMARY OF ISSUES This case was filed with the National… | Award | NASD | 09/05/1990 |
| 89-01383 | A y _a **• ynr-i Arbitration — • * ' - • — • - - - — National Association of SvcuntiM Oaatera, inc. 425 California St.. Rm. 1400 San Francisco. CA 94104 (415) 781-3343 FAX: (415) 362-9946 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between"" of Lewis J… | Award | NASD | 09/05/1990 |
| 89-01286 | N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael A. lacovacci AWARD #89-01286 Name of Respondent Merrill Lynch, Pierce Fenner & Smith, Inc. CASE SUMMARY Claimant, Michael A. lacovacci alleged that Respondent, Merrill Lynch,,. Pierce,… | Award | NASD | 09/04/1990 |
| 89-02169 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. * In the Matter of the Arbitration Between * David L. Krohn, M.D. Claimant * Case# 89-02169 ! vs. * AWARD * * * Shearson Lehman Hutton, Inc. and * * James Schwarz * + * ^ Respondents * CASE SUMMARY Claimant alleged that Respondents misrepresented a… | Award | NASD | 09/04/1990 |
| 90-01435 | NOTICE: An award was rendered in this case, but is not available. | Award | NASD | 09/04/1990 |
| 90-01059 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Frank M. Timothy Claimant(s) vs. 90-01059 Shearson Lehman Hutton, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Frank M. Timothy alleged that Respondent(s) Shearson Lehman Hutton, Inc.… | Award | NASD | 09/04/1990 |
| 90-00243 | N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Qf_CjjjjJB5n£. Lucio Ganmola Case # 90-00243 Award vs. Nameipf Respondents First Investors Corporation Albert F. Gallo CASE SUMMARY Claimant, Lucio Genmola, alleges that he directed Respondents,… | Award | NASD | 09/04/1990 |
| 90-00934 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John R. Bok Claimant(s) vs. 90-00934 Marlow R. Walker and Samuel Swartzman Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) John R. Bok alleged that Respondent(s) Marlow R. Walker and Samuel… | Award | NASD | 08/31/1990 |
| 88-03203 | NOTICE: An award was rendered in this case, but is not available. | Award | NASD | 08/31/1990 |
| 88-03973 | NOTICE: An award was rendered in this case, but is not available. | Award | NASD | 08/31/1990 |
| 88-03978 | NOTICE: An award was rendered in this case, but is not available. | Award | NASD | 08/31/1990 |