Arbitration Awards Online

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Award Document Case Summary Document Type Forum Date of Award
89-02677 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jerry W. and Linda M. Kielsmeier JTWROS Claimant(s) vs. 89-02677 Edward D. Jones & Co., Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Jerry W. and Linda M. Kielsmeier JTWROS alleged… Award NASD 04/05/1990
89-02622 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Steven B. and Yvonne Myers, JTWROS Claimant(s) vs. 89-02622 Lawrence Robert: Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Steven B. and Yvonne Myers, JTWROS alleged that Respondent(s) Lawrence… Award NASD 04/05/1990
90-05 Aivit-.-i:: :.,M. ...•r..^c.ii IN THE MATTt f. ARBITRATli BETWEEN :ASE : Edna Lavey v. Spear Leeds & Kellogg/Investors Co. v. PaineWebber v. CRT Options V. O'Connor & Associates v. Z-Ilchael Schwartz ^ '^O 'O^ 3ATE FILED: 7/14/RR. FIRST SCHEDULED ^/^/^^ DECIDED .;ASE SUMMARY: * Market crash… Award AMEX 04/04/1990
90-00091 NOTICE: An award was rendered in this case, but is not available. Award NASD 04/04/1990
MS89-64 m APR 6 }99o d^fiih In the Matter of the Arbitration Between Claimants, V. NORRIS & HIRSHBER6, INC. and GARY L. KANE, Respondents. *'-»V.;,^3, AWARD MS89-64 SC9-032 The undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: SUMMARY OF THE ISSUES DECIDED I. Whether or… Award MSRB 04/03/1990
89-03370 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anthony Fieldhouse Clairaant(s) vs. 89-03370 Fidelity Brokerage and Philadelphia Options Exchange Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Anthony Fieldhouse alleged that Respondent(s)… Award NASD 04/03/1990
89-03442 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PaineWebber, Inc. Claimant(s) vs. Christopher Felch Respondent(s) NOTICE OF ARBITRATION AWARD 89-03442 CASE SUMMARY Claimant(s) PaineWebber, Inc. alleged that Respondent(s) Christopher Felch ordered the purchase of… Award NASD 04/03/1990
88-01569 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between David C. Black, Claimant vs. Shearson Lehman Mutton, Inc., and Roger Reynolds, Respondents Case #88-01569 Award CASE SUMMARY Claimant, David C. Black, alleged that Respondent, Roger Reynolds, failed to follow… Award NASD 04/03/1990
89-03592 G NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James R. Hampton Claimant(s) vs . Robert Michael Saflin Respondent(s) NOTICE OF ARBITRATION AWARD 89-03592 CASE SUMMARY Claiinant(s) James R. Hampton alleged that Respondent (s) Robert Michael Saflin made… Award NASD 04/03/1990
89-03564 NOTICE OF ARBITRATION AHARD 89-03564 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Russell L. Maik Claimant(s) vs. Dean Witter Reynolds, Inc. Respondent(3) [ CASE SUMMARY Claimant(s) Russell L. Maik alleged that Respondent{s) Dean Witter Reynolds, Inc. allowed… Award NASD 04/03/1990
89-02675 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John A. Foster Claijnant(s) vs. 89-02675 Amerimutual Corp. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) John A. Foster alleged that Respondent(s) Amerimutual Corp. made misrepresentations.… Award NASD 04/03/1990
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
88-03933 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Jeffrey R. Miller, Executor Claimant ) of the Estate of Esther Miller ) and Rory A. Miller ) vs. ) AWARD ) Shearson Lehman Hutton, Inc. Respondents ) CASE NO. 88-03933 and Andrew Tse ) SUMMARY OF ISSUES… Award NASD 04/02/1990
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