Arbitration Awards Online

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Award Document Case Summary Document Type Forum Date of Award
88-02451 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Dale 0. Schwartzenhauer Claimant } vs. ) AWARD Greenfield/Campbell, Inc. and Respondents ) CASE NO. 88-02451 Charles Campbell ) SUMMARY OF ISSUES This case was filed on August 1, 1988. Claimant alleged the… Award NASD 04/02/1990
87-01239 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between VICTOR and MARILYN TETREAULT, JTWROS, vs. BEAR STERNS t COMPANY and STEVEN KIRSCH, Claimants, Respondents. Case #87-01239 Award Heard before the members of the Arbitration Panel: Constance J. McCaughey, Mr.… Award NASD 04/02/1990
90-00070 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James and Rita Price Claimant(s) vs. Greentree Securities Corp. Respondent(s) NOTICE OF ARBITRATION AWARD 90-00070 CASE SUMMARY Claimant(s) James and Rita Price alleged that Respondent(s) Greentree Securities Corp.… Award NASD 04/02/1990
89-01153 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between ) ) ) Award Robert James Raphael Claimant ) ) ) NASD No. 89-01153 vs. ) ) W.J. Gallagher & Co. Respondents ) Gary Miller ) SUWARY OF ISSUES This case was filed on April 17, 1989. Claimant alleged lack 7… Award NASD 04/02/1990
89-07 IN THL M.--:. E'-? GF Ar ."< CH.6.Ni1Ji .j.^ M BETWEEN :ASE: JAMES CHAMBERS V. A.G. EDWARDS & SONS, INC ^^- 0^7 3ATE FILED: 3/17/89 :ASE SUMMARY:« FIRST SCHEDULED DECIDED RESPONDENT'S THIRD PARTY'S INITIALS CLAIMANT'S INITIALS SESSIONS: Arbitration based on the pleadings submitted to sole… Award AMEX 03/31/1990
90-00055 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John N. Taylor, Jr. on behalf of Margaret Helen Taylor Claimant(s) vs. 90-00055 Prudential-Bache Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) John N. Taylor, Jr. on behalf of… Award NASD 03/31/1990
87-01522 Reg:o:i_i Voiuma ^- . •••;i:i;";ber Ve.u ^70 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Raymond W. Hogstrom, Maxine R. Hogstrom, Perry H. Harris, Francie Harris, Judy A. Haeussler, Gary E. Haeussler, Roger N. Litzenberger and Marilyn F. Litzeraerger… Award NASD 03/30/1990
88-02109 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between GRIFFIN FINANCIAL SERVICES Claimant and ) ) CASE NO. 88-02109 HUGH G. SMITH LUMBER CO. AND HUGH G. SMITH Respondents CASE SUMMARY Griffin Financial Services ("Claimant") alleges that Hugh G. Smith Lumber Co.… Award NASD 03/30/1990
89-03241 NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Dean and Marcia McHan Clairaant(s) vs. 89-03241 Fidelity Investments and Fidelity USA Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Dean and Marcia McHan alleged that Respondent(s) Fidelity… Award NASD 03/30/1990
89-03421 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Derek M. Gorg Claimant(s) vs. 89-03421 Dean Witter Reynolds, Inc. and David A. West Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Derek M. Gorg alleged that Respondent(s) Dean Witter Reynolds,… Award NASD 03/30/1990
89-03403 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edward E. Atiyeh Claimant(s) ARBITRATION vs. AWARD 89-03403 E.F. Hutton fr Co. (Shearson Lehman Hutton, Inc.} Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) Edward E. Atiyeh alleged that Respondent(s) E.F. Hutton… 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
89-01215 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
89-03180 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
88-02790 NATIONAL ASSOCIATION OF SECURITIES DEALERS^IWL IN THE MATTER OF THE ARBITRATION BETWEEN T. Scott Richter, individually and as a for the Sprayberry Animal Hospital Pension Trust... Claimants vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. John F. Fisher Respondents Case #88-02790 AWARD CASE… Award NASD 03/30/1990