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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 89-00605 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, A************************* In the Matter of the Arbitration Between * N.C. Harrison, Jr. Claimant vs. #89-00605 Smith Barney, Harris Upham & Co., Inc. * J.C. Bradford and Co., inc. * Respondents * * * *************************** CASE SUMMARY… | Award | NASD | 08/20/1990 |
| 89-02632 | NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN William D. Kerner Claimant vs. Prudential-Bache Securities, Inc. Evan Bines Respondents Case #89-02632 AWARD CASE SUMMARY Claimant William D. Kerner alleged that Respondent Evan Bines, an employee of… | Award | NASD | 08/18/1990 |
| 88-02866 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between/Among | Scott Chakmak | * Claimant | Case #88-02866 * AWARD I * Shearson Lehman Hutton, Inc. | and Budd Abbott * CASE SUMMARY Claimant(s), Scott Chakmak alleged that Respondent(s), Shearson Lehman Hutton, Inc… | Award | NASD | 08/17/1990 |
| 89-00599 | NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the natter of the Arbitration Between ) ) ) BRYCE AND MURL ROBY ) ) Claimant(s) ) Case No. 89-00599 and ) ) GARY ROSENTHAL AND SHEARSON ) LEHMAN BROTHERS, INC. ) ) Respondent(s) ) CASE SUMMARY In a statement of claim filed with the NASD on March 2… | Award | NASD | 08/17/1990 |
| 89-02203 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dr, Herbert Nevyas Claimant vs. Robert Beuret Beuret & Co. Respondents. CASE #89-02203 AWARD CASE SU^f^ARY Claimant Dr. Herbert Nevyas alleged that Respondent Robert Beuret, formerly of Respondent Beuret… | Award | NASD | 08/17/1990 |
| 89-00898 | NOTICE: An award was rendered in this case, but is not available. | Award | NASD | 08/17/1990 |
| 89-02286 | NOTICE: An award was rendered in this case, but is not available. | Award | NASD | 08/17/1990 |
| MS89-104 | MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between v. STEPHEN E. SHOGREN, Claimant, Respondent, mib AUG 21 1990 f«i AWARD MS 89-104 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimant alleges numerous material… | Award | MSRB | 08/17/1990 |
| 90-00798 | NATIONAL ASSOCIATION OP SECURITIES DEALERS NOTICE OP ARBITRATION AHARO 90-00798 In the Matter of the Arbitration Between Irene Fletcher Claimant(s) vs. Dillon Securities, Jean Harding and Conrad Lysiak Respondent(s) CASE SUMMARY Claiinant(s) Irene Fletcher alleged that Respondent (s) Dillon… | Award | NASD | 08/17/1990 |
| 89-01806 | NOTICE: An award was rendered in this case, but is not available. | Award | NASD | 08/16/1990 |
| 89-03307 | NOTICE: An award was rendered in this case, but is not available. | Award | NASD | 08/16/1990 |
| MS89-106 | MUNICIPAL SECURITIES RULEMAKING BOARD mj8 20 1990 In the Matter V. of the Arbitrat MICHAEL STEIN; DAVID LINDNER KIRLIN SECURITIES, INC., ion between Claimants, : and Respondents. AWARD MS 89-106 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY… | Award | MSRB | 08/16/1990 |
| 90-00529 | NATIONAL ASSOCIATION OF SECURITIES In the Matter of the Arbitration Between/Among Robert Barra and James Kierman JTWROS Claimants vs. Berkeley Securities Corporation and Robert Fiorese Respondents Case #90-00529 AWARD CASE SUMMARY This case-was filed on February 20, 1990. Claimants, Robert Barra… | Award | NASD | 08/16/1990 |
| 88-01716 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between HEZAM ALI REYME and Claiinant(s) Case No. 88-01716 COMERICA BROKERS, INC., NATIONAL FINANCIAL SERVICES, CORP. AND JOSEPH J. KELLY Respondent(s) CASE SUMMARY In a claim filed with the NASO on or about May 26,… | Award | NASD | 08/16/1990 |
| 89-00740 | N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between August E. and Sharon LaScola AWARD vs. #89-00740 Merrill Lynch, Pierce, Fenner & Smith Arthur Zwieg Charles Mordough CASE SIM4ARY Claimants alleged that Respondents falsely misrepresented to the… | Award | NASD | 08/16/1990 |