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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 89-02862 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) GRACE P. HOPPER ) Claimant(s) ) Case No. 89-02862 and I EDWARD D. JONES AND COMPANY ) Respondent(s) CASE SUMMARY In a claim filed with the NASD on or about October 16, 1989, Claimant Grace P. Hopper, ("… | Award | NASD | 07/16/1990 |
| 89-00095 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Mae Batterson Claimant ) vs. ) AWARD Shearson Lehman Mutton, Inc. and Respondents ) CASE NO. 89-00095 Michael A. Goldstein ) Heard Before the Members of the Arbitration Panel: Frank R. Smith Bert Levy George… | Award | NASD | 07/16/1990 |
| 90-00926 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mary Tucker McCall Claimant(s) ARBITRATION VS. AWARD 90-00926 Bane One Securities, Inc. and Thomas J. Flood Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) Mary Tucker McCall alleged that Respondent(s) Bane One… | Award | NASD | 07/13/1990 |
| 89-02168 | NATIONAL ASSOCIATION QF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Marina Engel Case #89-02168 Claimant AWARD vs. Prudential-Bache Securities, Inc. Alan Sobelman Respondents CASE SUMMARY Claimant Marina Engel alleged that Respondent Alan Sobelman willfully and intentionally… | Award | NASD | 07/13/1990 |
| 89-01970 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) VflLLIAM H. ROOF, . ) Claimant, ) ) Gas* J89-01970 vs. ) Award ) PRUDENTIAL-BACHB SECURITIES, INC. and ) WILLIAM HOOD. ) Respondents. ) ) Heard before the Arbitrator: Craig Edward Stein, E«q. CASE SUMMARY… | Award | NASD | 07/13/1990 |
| 90-00375 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In. the Matter of the Arbitration Between Suzanne Slade Claimant(s) vs. Thomas Vincent Ackerly, Troy P. Westover, and Michael Kaye Respondent(s) NOTICE OF ARBITRATION AWARD 90-00375 CASE SUMMARY Claimant (s) Suzanne Slade alleged that Respondent (s) Thomas… | Award | NASD | 07/13/1990 |
| 89-02807 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of :.ie Arbitration Between ) BOB EDWARD KENT AND MAXINE KENT ) Claimant(s) ) Case No. 89-02807 and ) \ MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. AND RILEY ETHERIDGE Respondent(s) CASE SUMMARY In a claim filed with the NASD on or… | Award | NASD | 07/13/1990 |
| 88-02072 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration RP France 1 ; Addas vs. Claimant Cornwall Securities, Inc. Respondents AWARD #88-02072 CAbfc SUMMARY Claimant alleges that Respondents made unsuitable investments in a discretionary account over which Respondent… | Award | NASD | 07/13/1990 |
| 89-01344 | NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Joseph Woody Case No. 89-01344 Claimant AWARD vs. Michael Leeds Greentree Securities, Inc. Richard Greenstein Thomas Francis Respondents CASE SUMMARY In a claim filed with the National Association of… | Award | NASD | 07/13/1990 |
| 89-01605 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of -_-? Arbitration Between JAMES G. WATRIS3 ) ) Claimant(s) ) Case No. 89-01605 and ) MERRILL LYNCH, PIERCE, FENNER ) & SMITH, INC. *m WILLIAM G. RYAN, JR. Respondent(s) CASE SUMMARY In a claim "led with the NASD on or about June I… | Award | NASD | 07/13/1990 |
| 88-03086 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) SALLY ROJAS, ) Claimant, ) ) Case #88-03086 vs. ) Award ) PROFILE INVESTMENTS, CORP., ) ALAN BESHANY, ALVIN ROSENBLUM, ) STANLEY LEVIN, MICHAEL SEGAL and ) GREGORY MARHOLIN. ) Respondent ) ) Heard before… | Award | NASD | 07/13/1990 |
| 89M033 | IN ARBITRATICN UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INC. IN THE MATTER OF Petco Options Co. Initiating Party and Larson Trading Partners, Vernon 0, Larson, and Corey Conn Responding Party Arbitration File No, 89-M-33 o AWARD Ihe captioned matter was sutmitted on… | Award | CBOE | 07/12/1990 |
| 89M037 | IN ARBITRATION UNDER CHAPTER XVIII OF TEIE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INC. IN THE MATTEER OF Raymond R. Kielhack Initiating Party and Scott E. Warren Responding Party Arbitration File No. 89-M-37 AWARD o The captioned matter was sutmitted on Deoeanber 26, 1989. The naired parties… | Award | CBOE | 07/12/1990 |
| 89-01916 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between David L. and Mary L. Thomas Claimants vs. Trace E. Paradise, Jimmy Carter, Texas Independent Securities, Inc. William T. Charlton and Palestra Training Corporation Respondents NOTICE OF ARBITRAT AKARD #89-… | Award | NASD | 07/12/1990 |
| 90-01062 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between G, William Jewell Claimant(s) vs. 90-01062 Pace Securities Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) G. William Jewell alleged that Respondent (s) Pace Securities failed to follow Claimant'… | Award | NASD | 07/10/1990 |