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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 89-00597 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ]n the Matter of the Arbitration Between Edward L. Nordeen Carol A. Nordeen Claimants vs. PaineWebber, Inc. Respondent CASE #89-00597 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 22, 1989… | Award | NASD | 01/30/1990 |
| 89-02282 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Frank M. and Frances Charles Claimant(s) NOTICE OF ARBITRATION vs. AWARD 89-02282 A. Marino and Joe Marino and Andy Delano Respondent(s) CASE SUMMARY Claimant(s) Frank M. and Frances Charles alleged that Respondent(… | Award | NASD | 01/30/1990 |
| 88-01839 | - NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Mario J. Geraci Claimant ) vs. ) AWARD Templeton Fund Distributors Respondent ) CASE NO. 88-01839 SUMMARY OF ISSUES This case was filed on June 6, 1988. Transcorp Pension Services, Inc. was initially named… | Award | NASD | 01/30/1990 |
| 88-01044 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Orexel Burnham Lambert, Inc., Claimant vs. Universal Rental & Leasing, Respondent Case #88-01044 Award CASE SUMMARY The above-captioned complaint was filed with the NASD, Inc. on March 31, 1988. The… | Award | NASD | 01/30/1990 |
| 88-02873 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. c In the Matter of the Arbitration Between ) CHARLES A. ROTH ) Claimant ) and ) ) CASE NO. 88-02873 JOSEPH MIYAMOTO, JR. ) EVAN RYAN SECURITIES, INC. AND ) WEDBUSH SECURITIES } ) Respondents ) CASE SUMMARY Charles A. Roth ("Claimant") alleged that… | Award | NASD | 01/29/1990 |
| 88-02264 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) HAROLD HORNREICH, ) Claimant, ) ) Case 188-02264 vs. ) Award JOSEPHTHAL 4 CO., INC.. ) Respondent. ) Heard before the members of the Arbitration Panel: Anthony J. Titone, Esq. Judy Avey Douglas Delanoy, Jr.… | Award | NASD | 01/26/1990 |
| 89-00031 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marianne Stolz Ernst Stolz vs. Claimants AWARD #89-00031 Thomson McKinnon Securities, Inc. Respondent Case Summary Claimants Marianne and Ernst Stolz of West Germany alleged that Respondent Thomson McKinnon… | Award | NASD | 01/25/1990 |
| 88-03611 | JAN 18 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Estate of Mathew Landy Claimant vs. Chubb Securities Corporation Respondent Case Summary AWARD 188-03611 Claimant alleged that Respondent improperly sold stocks in the portfolio of Mathew Landy creating a… | Award | NASD | 01/25/1990 |
| 88-03449 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATIONBETWEEN Dana C. Kent CLAIMANT vs. Shearson Lehman Brothers, Inc. Prudentia]-Bache Securities, Inc. Michael Prokop RESPONDENTS Case #88-03449 AWARD CASE SUWARY This proceeding was commenced initially on November 4, 1988… | Award | NASD | 01/25/1990 |
| 88-03121 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) CHARLOTTE PAPAOAKIS ) Claimant ) NASD NO. 88-03121 v. ) SANDHURST SECURITIES, LTD. ) and IRVING SIMON Respondents CASE SUMMARY Charlotte Papadakis ("Claimant") alleges that Irving Simon ("Respondent"), an… | Award | NASD | 01/25/1990 |
| 88-01888 | •" e Region 0 ^-^^^^^^^ ^v^^^^^^H I^Wn^OTHH Volume ^ , Number 3 Year 90 NATIONAL ASSOCIATION OF SECURITIES DEALERS, IMC. In the Matter of the Arbitration Between Robert and Jean Headley CIaimants and Chiles, Heider & Co., Inc.; Shearson/American Express, Inc. and Paul A. Waters Respondents… | Award | NASD | 01/25/1990 |
| 89-00992 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) JORGE L. GONZALEZ, ) Claimant, ) ) Case #89-00992 vs. ) Award DEAN WITTER REYNOLDS. INC., ) Respondent. ) Heard before the members of the Arbitration Panel: William A. Fleck, Esq. Alexander Eltman, Esq.… | Award | NASD | 01/25/1990 |
| 89-01785 | .IAN NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jack Brown Claimant vs. AWARD #89-01785 Norstar Brokerage Corporation Respondent Case Summary Claimant alleged that Respondent failed to properly execute sell orders of common stock in his account and did not… | Award | NASD | 01/25/1990 |
| 89-00233 | NATIONAL ASSOCIATION OF SECURITIES DEALERS VOL Z MO. 3 "iGor^o JAN 30 RGCD In the Matter of the Arbitration Between Marsh Block & Co., Inc. Claimant vs. Ivan Lovas Respondent AWARD #89-00233 Case Summary Claimant Marsh Block & Co., Inc. (hereinafter "Claimant") alleged that Respondent Ivan… | Award | NASD | 01/25/1990 |
| 88-02278 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James 6. and Marie B. Goodman Claimants vs. AWARD #88-02278 Smith Barney, Harris, Upham & Co., Inc. Clarence Jeter, III Respondents Case Summary Claimants alleged that Respondents failed to follow Claimants'… | Award | NASD | 01/25/1990 |