Arbitration Awards Online

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Award Document Case Summary Document Type Forum Date of Award
89-00195 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Theodore S. Mayer Claimant ) vs. ) AWARD ) Prudential-Bache Securities, Inc. Respondent ) CASE NO. 89-00195 and Laurence Lackaye ) SUMMARY OF ISSUES This case was filed with the National Association of… Award NASD 03/16/1990
88-03512 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) KENT R. & LAURIE C. VEINER, ) Claimants, ) vs. ) Case #88-03512 ) Awa rd BLINDER ROBINSON & CO., INC., ) ROGER GOLDBERG AND FRED HUNT, ) Respondents. ) Heard before the member of the Arbitration… Award NASD 03/15/1990
88-02714 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) VIRGINIA HARRIS ) Claimant ) and ) CASE NO. 88-02714 DEAN WITTER REYNOLDS, INC. AND JAMES TALLEN Respondent CASE SUMMARY In a claim filed with the NASD on August 25, 1988, Claimant, Virginia Harris alleged… Award NASD 03/15/1990
89-00651 NA'r.':CNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the TUrbitration Between Jerry Rodinsky Claimant(s) vs . Graystone Nash, Inc. and Douglas R. Coill Respondent(s) NOTICE OF ARBITRATION AWARD 89-00651 CASE SUMMARY Claimant(s) Jerry Rodinsky alleged that Respondent(s) Graystone Nash, Inc… Award NASD 03/14/1990
88-99910 , « 2- Number^ Year.3D- NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Katherine B. Reed and Claimant A.G. Edwards & Sons, Inc. and Ernest 6. Martin Respondents AWARD 88f)9910 CASE SUMMARY Katherine B. Reed ("Claimant") alleged as follows: 1. Ernest G… Award NASD 03/14/1990
89-02204 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael J. Lepore Claimant(s) vs. Marty Hill, Power Securities Corp. and Joseph McDonough Respondent(s) NOTICE OF ARBITRATION AWARD 89-02204 CASE SUMMARY Claimant(s) Michael J. Lepore alleged that Respondent{s)… Award NASD 03/14/1990
88-00750 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) DR. KLAUS KALTHOFF ) Claimant } and } ) CASE NO. 38-00750 NEW ENGLAND SECURITIES CORP. ) ) Respondent ) CASE SUMMARY In a claim filed with the NASD on February 24, 1988 and an Amended Statement of Claim filed… Award NASD 03/14/1990
88-01154 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) J.C. Bradford & Company ) ) Claimant ) and ) A W A R D ) 88-01154 Bert L. Frazier ) ) Respondent ) ) CASE SUMMARY In a claim filed with the NASD on April 20, 1988, Claimant J.C. Bradford & Company… Award NASD 03/14/1990
88-01823 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between A & R Kalimi an Realty vs. Claimant Shearson Lehman Brothers, Inc. Edgar M. Fitzsimons Respondents CASE #88-01823 AWARD CASE SUWARY In a claim filed with the National Association of Securities Dealers, Inc… Award NASD 03/14/1990
89-01058 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) MARJQRIE A. 8RANN ) ) Claimant ) and ) ) CASE NO. 89-01058 MERRILL LYNCH. PIERCE, FENNER & ) SMITH, SMITH BARNEY, HARRIS, UPHAM ) & CO., INC. et al. ) Respondents ) CASE SUMMARY In a claim filed… Award NASD 03/14/1990
89-00444 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) Dominic and Jennie Benedis ) Claimants " ) and ) A W A R D ) 89-00444 R.L. Kotrozo, Inc. and ) Sam Giallanza ) Respondents ) CASE SUMMARY In a claim filed with the NASD on or about February 13, 1989,… Award NASD 03/14/1990
88-02031 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the_ JUDITH BLINDER Matter of the Arbitration Between ) K. FIVIAN and ROBINSON & CO Claimant ., INC. and STEVEN R. NICKLES Respondents / ) ) ) ) ) ) CASE NO. 88-02031 CASE SUMMARY Judith K. Fivian ("Claimant") alleges that Blinder Robinson… Award NASD 03/13/1990
88-03648 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Carmella M. Parrillo Claimant vs. Case 188-03648 AWARD Shearson Lehman Hutton, Inc. Respondent CASE SUMMARY This proceeding was commenced initially on November 22, 1988 against the Respondent E.F. Hutton… Award NASD 03/13/1990
89-00041 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between Valeria A. Lesnsr Pierre F. Lesher (deceased) vs. Claimants Award NASD No. 89-00041 Dean Witter Reynolds, Inc. Stephen R. Connors Respondents SUMMARY OF ISSUES This case was filed on January 10, 1989. Claimant… Award NASD 03/13/1990
89-00977 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edgar Lepage Claimant(s) vs. 89-00977 Don Arbital Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Edgar Lepage alleged that Respondent(s) Don Arbital failed to execute a sell order. Respondent(s)… Award NASD 03/13/1990