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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 89-02516 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Sadie Appleman, individually Claimant ) and as Trustee of the Sadie ) Appleman Family Trust ) ) vs. ) AWARD ) Boettcher & Company and Respondents ) CASE NO. 89-02516 Craig Bailey ) SUMMARY OF ISSUES… | Award | NASD | 06/22/1990 |
| 89-01132 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Paul and Barbara Voitko Claimant(s) vs. 89-01132 Graystone Nash, Inc. and Cutwater & Wells, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant (s) Paul and Barbara Voitko alleged that… | Award | NASD | 06/22/1990 |
| MS89-97 | MUNICIPAL SECURITIES RULE'i^AKlNG BOARD p--'-b i}\i]i 23 1990 r*: r« "•-. -^ In the Matter of the Arbitration between ROBERT BYRO and BEATRICE BYRD, Claimants, V. GATEWAY SECURITIES, INC. and DAVID WESTON, Respondents. AWARD MS 89-97 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby… | Award | MSRB | 06/21/1990 |
| 90-15 | -^SB: AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN ARCHIE C. WHITE, III, V. SHEARSON LEHMAN HJTTON & ROBERT GOLD OATE FILED: Oct 12, 1988 piRST SCHEDULED May 19, 1990 DECIDED June 20, 19 9 CASE SUMMARY;* Customer v. Member small claim margin account dispute. ^ Claimant alleges… | Award | AMEX | 06/20/1990 |
| 90-14 | •_,r*SE AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN CHARLES DAI LEY V. SHEARSON LEHMAN HUTTON S. PETEP SPOTO %'l4 DATE FILED: May 8, 1989 FIRST SCHEDULED March 7, 1989 DECIDED June 20. 199C CASE SUMMARY:* Customer v. Member small claims dispute. Claimant alleges Respondent broker… | Award | AMEX | 06/20/1990 |
| 89-01497 | NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. Case #89-01497 AWARD IN THE MATTER OF THE ARBITRATION BETWEEN Abrenam and Ruth Haim Claimants vs. Monmouth Investments, Inc., Seen? itiis Settlement Corp. Am, Trenton Respondents CASE SUMMARY Claimants Abraham and Ruth Haim alleged that Respondent… | Award | NASD | 06/20/1990 |
| 89-01843 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Lauren Kelly Claimant ) vs. ) AWARD Shearson Lehman Mutton, Inc. Respondents ) CASE NO. 89-01843 and Darrell Petrie SUWARY OF ISSUES This case was filed with the National Association of Securities Dealers,… | Award | NASD | 06/20/1990 |
| 89-00700 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) ) MARGARET F. COKE ) Claimant ) v. ) NASD NO. 89-00700 PRUDENTIAL-BACHE SECURITIES, INC. ) JAMES P. CLARK and RICHARD P. ARCHBOLD ) Respondents ) CASE SUMMARY In a claim filed with the NASD on or about March 13… | Award | NASD | 06/20/1990 |
| 89-00284 | Region ^ —tii^Em VolumeJ!L-. Number. vol. A: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between PAINEWEBBER, INC. Claimant V. JAMES F. HICKEY Respondent NASD No. 89-00284 CASE SUMMARY In a statement of claim filed on or about February 1, 1989 with the NASD,… | Award | NASD | 06/20/1990 |
| 89-02909 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Michael Weissberg vs. First Flushing Securities, Inc. Claimant AWARD Respondent CASE #89-02909 CASE SUMMARY Claimant alleged that Respondent failed to properly execute orders placed and then failed to cancel… | Award | NASD | 06/20/1990 |
| 89-02907 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ti11ie Spergel vs. Spencer-Winston Securities Corp. Claimant AWARD Respondent CASE #89-02907 CASE SUMMARY Claimant alleged that Respondent failed to tender shares during a tender of Polaroid. Respondent… | Award | NASD | 06/20/1990 |
| 89-02479 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) SHARRYE J. TAYLOR ) Claimant ) Case No. 89-02479 and } PRUOENTIAL-BACHE SECURITIES, INC. ) ) Respondent ) CASE SUMMARY In a Statement of Claim filed with the NASD on or about September 6, 1989, Claimant… | Award | NASD | 06/19/1990 |
| 89-03393 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) James E. Schueth ) Claimant(s) ) and ) ) CASE NO. 89-03393 Firstier Brokerage, Inc. and ) Jeffrey Einfalt ) Respondent(s) ) CASE SUMMARY In a claim filed with the NASD on or about December 4, 1989. Claimant… | Award | NASD | 06/19/1990 |
| 89-01907 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Charleen Standley Claimant ) vs. ) AWARD Kidder, Peabody & Co., Inc. Respondent ) CASE NO. 89-01907 SUWARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD… | Award | NASD | 06/19/1990 |
| 90-00431 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gary Benway Claimant(s) vs. Wellshire Securities, Michael Howard and Joe Jenkins Respondent(s) NOTICE OF ARBITRATION AWARD 90-00431 CASE SUMMARY Claimant(s) Gary Benway alleged that Respondent(s) Wellshire… | Award | NASD | 06/19/1990 |