Arbitration Awards Online

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Award Document Case Summary Document Type Forum Date of Award
89NM032 o IN ARBITRATICN UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INC. IN THE MATTER OF ^^ector Initiating Party and Shearson Lehman Hutton Responding Party File No. 89-NM-32 AVC\RD Hie above-captioned parties had full opportunity to present arguments and evidence. Having… Award CBOE 05/07/1990
89NM028 o IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES CF IHE CHICAGO BOARD OPTIONS EXCHANGE, INC. IN IHE MATTER CF LoGiudice Initiating Party and thcmson McKinnon/Miringhoff Responding Party File No. 89-NM-28 AWARD The above-captioned had full opportunity to present arguments and evidence. Having been… Award CBOE 05/07/1990
89NM025 IN ARBlTRATIOSr UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INC. IN THE MAITER OF Smith Initiating Party and Prudential-Bache Securities Responding Party Arbitration File No. 89-NM-25 APflARD The captioned matter was suhmitted on November 19, 1989, The named parties… Award CBOE 05/07/1990
89NM023 IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INC. IN THE MATTER OF Plant Initiating Party and Fidelity Brokerage Services Responding Party File No. 89-NM-23 AWARD o The above-captioned parties had full opportunity to present arguments and evidence. Having… Award CBOE 05/07/1990
88-01318 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant(s) vs. -83-01318 Steve Koonin Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Dean Witter Reynolds, Inc. alleged that Respondent(s) Steve Koonin owes the… Award NASD 05/07/1990
89-02979 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Panagiotis Petrochilos Claimant vs. AWARD #89-02979 Paul Pantazakos Respondent Case Summary Claimant Panagiotis Petrochilos sued the Respondent Paul Pantazakos for damages sustained as a result of his alleged… Award NASD 05/04/1990
89-02472 NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC, IN THE MATTER OF THE ARBITRATION BETWEEN Sandra Greenblatt Claimant vs. Case #89-02472 Award Shearson Lehman Mutton, Inc. and Victor Linell Respondents CASE SUWARY Claimant Sandra Greenblatt alleged that the Respondent Victor Linell opened a margin… Award NASD 05/04/1990
89-02104 MAY 08 RECO NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard J. Ponds, Jr. Claimant vs. Smith Barney, Harris, Upham & Co., Inc. Timothy K. Saint-Maxen Respondents AWARD #89-02104 Case Summary Claimant Richard J. Ponds, Jr. alleged that Respondents… Award NASD 05/04/1990
89-00726 NATTQvy. HSSOCIflTTQN QF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATE BETWEEN Cowen & Company Claimant vs. Henrv Stojowski Respondent "S. Viceroy International Securit'^s •\vin Bakal Sobert Onesti Respondents Case =89-00726 AWARD CASE SUMMARY Claimant Cowen & Company (" ("… Award NASD 05/04/1990
89-00120 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) STANLEY L. SCHMIDT, ) Claimant, ) ) Case /89-00120 vs. ) Award F. D. RC3ZFTS, INC., LEONARD TUCKER, ) DEAN VERNOIA and JERRY JUDKOWITZ, ) Respondents. ) Heard before the Arbitrator: Marilyn 3. Cane, Esq.… Award NASD 05/04/1990
89-00432 NATIONAL ASSOCIATION OP SECURITIES DEALEHS, INC. la the Matter of the Arbitration Between ) ) SALLY S US SHAN, ) Claimant, ) ) Cast 189-00432 vs - } Award ) DEAN VITTER REYNOLDS and ) DAVID E. JELONEK, , ) Respondents. ) Htard before the member • of the Arbitration Panel » Alexander Eltman, Esq.… Award NASD 05/04/1990
88-03364
Neutral(s): Joseph E. DaGrosa, Diane Getzler, Edmond ****DO NOT USE**** E. Chapus
Hearing Site: New York, NY
 Award FINRA 05/03/1990
89-02750 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Stephen and Barbara Kindle Claimant(s) vs. 89-02750 Adam Fox and Sherwood Capital, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Stephen and Barbara Kindle alleged that Respondent(s) Adam… Award NASD 05/03/1990
88-03364 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Merrill Lynch, Pierce, Fenner & Smith, Inc. Claimant vs. Dr. Elsa M. Lopez Respondent Case #88-03364 AWARD CASE SUMMARY Claimant seeks a debit balance created in October 1987 in Respondent's account as the… Award NASD 05/03/1990
89-03316 NATIONAL ASSOCIATION OF SECURITIES DEALERS T In the Matter of the Arbitration Between Eric P. Tsai Claimant(s) vs. 89-03316 D.H. Blair & Co., Inc. and Michael Xirinachs Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Eric P. Tsai alleged that Respondent(s) D.H. Blair & Co… Award NASD 05/03/1990