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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 89-01535 | MAY 1 7 RECO NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Milan Licul Claimant vs. AWARD #89-01535 Mikal & Co., Inc. Respondent Case Summary Claimant Milan Licul alleged that Respondent Mikal & Co., Inc. fraudulently enticed Claimant to purchase shares… | Award | NASD | 05/17/1990 |
| 88-02911 | NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Wall Street Clearing Co. Claimant vs. Firouz Ipaktchi Elizabeth Ipaktchi vs. Beuret & Company Respondents Third-Party Respondent Case #88-02911 AWARD CASE SUMMARY Claimant, Wall Street Clearing Co.,… | Award | NASD | 05/17/1990 |
| 88-02700 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between Ben Silverman Dave Silverman Beverly Hilbert John lagnemma John Merlin Joseph D'Angeli Claimants vs. PaineWebber, Inc. Gary Brown Respondents CASE #88-02700 88-02701 88-02702 88-02703 CASE SUMMARY Claimants, Ben… | Award | NASD | 05/17/1990 |
| 88-03257 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Estate of Marion J. Muller Claimant vs. Oean Witter Reynolds, Inc. Respondent AWARD #88-03257 Case Summary Claimant alleged that Respondent mishandled Claimant's account during the year 1987 by allowing margin… | Award | NASD | 05/17/1990 |
| 88-02944 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) JO LANDSTROM ) Claimant ) and ) ) CASE NO. 88-02944 THOMAS BARNES ) ) Respondent ) CASE SUMMARY A. Jo Landstrom ("Claimant") alleged that Thomas Barnes ("Respondent") engaged in the following: 1. Churned the… | Award | NASD | 05/17/1990 |
| 89-00039 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, ING. In the Matter of the Arbitration Between ) ANN M. KMIT AND DENNIS KMIT ) Claimants ) and ) ) CASE NO. 89-00039 SHEASON LEHMAN MUTTON, INC. AND ) WILLIAM H. STEWART ) ) Respondents ) CASE SUMMARY In a claim filed with the NASD on January 3, 1989… | Award | NASD | 05/17/1990 |
| 89-00228 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Jana Olson & William Collins Claimants ) ) vs. ) AWARD Brennan Ross Securities, Inc. Respondents ) CASE NO. 89-00228 and William Strong SUWARY OF ISSUES This case was filed on November 29, 1989.… | Award | NASD | 05/17/1990 |
| 89-00379 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Lee Brozen } ) . Claimant(s) ) ) and ) CASE NO. 89-00379 ) Norstar Brokerage Corporation ) ) Respondent(s) ) CASE SUMMARY In a claim filed with the NASD on or about February 8, 1989, Claimant Lee. Brozen… | Award | NASD | 05/17/1990 |
| 89-01194 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jesaka Neumann vs. Claimant AWARD #89-01194 Tucker, Anthony & R.L. Day, Inc. Tom Donaldson Respondents Case Summary Claimant Jesaka Neumann alleged that Respondents Tucker, Anthony & R.L. Day, Inc. and Tom… | Award | NASD | 05/17/1990 |
| 89-02786 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) •\ Patricia Ross VS. Dean Witter Reynolds, Inc. i Claimant/ ) Counter- ) Respondent ) ) Respondent/ ) Counter- ) Claimant ) AWARD CASE NO. 89-02786 SUMMARY OF ISSUES This case was filed on October 10, 1989.… | Award | NASD | 05/17/1990 |
| 89-03266 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gerald C, Heyes Claimant vs. Russo Securities, Inc. Dillon Securities, Inc. Respondents AWARD #89-03266 Case Summary Claimant alleged that Respondents failed to exercise due diligence in selling and trading shares… | Award | NASD | 05/16/1990 |
| 89-02111 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between David M. Gattegno VS. Claimant Shearson Lehman Mutton, Inc. Charles R. Perlwitz Respondents CASE #89-02111 AWARD CASE SUWARY Claimant, Daniel M. Gattegno, alleges that he informed Respondents, Shearson Lehman… | Award | NASD | 05/16/1990 |
| 89-01237 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Morris Chafetz and Marion Chafetz Claimants vs. AWARD #89-01237 Steven W. Dorman Washington Financial Group, Inc. Penn Mutual Equity Services Respondent Case Summary Claimants Morris and Marion Chafetz alleged that… | Award | NASD | 05/16/1990 |
| 89-01601 | MAY 1 R NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Chang Ho Lee Claimant vs. AWARD #89-01601 Dean Witter Reynolds, Inc. Respondent Case Summary Claimant Chang Ho Lee alleged that Respondent Dean Witter Reynolds, Inc. failed to execute Claimants instructions… | Award | NASD | 05/16/1990 |
| 89-00649 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) ANN M. DONALDSON ) ) Claimant ) and ) ) CASE NO. 89-00649 ALEXANDER NAZARENKO AND ) EQUITY SECURITIES TRADING CO., INC. ) ) Respondents } CASE SUMMARY Ann M. Donaldson ("Claimant") alleged that Alexander… | Award | NASD | 05/16/1990 |