Arbitration Awards Online

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Displaying 64156 - 64170 of 66138
Award Document Case Summary Document Type Forum Date of Award
88-02563 NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) ) ROBERT H. and GLORIA S. HUDLER, ) Claimants, ) ) Case /88-02563 vs. ) Award ) KIDDER PEABODY & CO. and MYRON ENGERMAN, ) Respondents. ) ) Heard before the members of the Arbitration Panel: Myron Dunay… Award NASD 04/24/1990
89-00315 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) ROBERT J. (c CHARLOTTE M. WINE, ) Claimants, ) ) Case 189-00315 vs. ) Award ) BLINDER. ROBINSON & COMPANY, INC., } Respondent. ) ) Heard before the members of the Arbitration Panel: Guthrie F. Crowe… Award NASD 04/24/1990
89-00211 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gladys M. Cause Claimant(s) vs. 89-00211 Thomson McKinnon Securities, Inc. and Stan Griner Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Gladys M. Gause alleged that Respondent(s) Thomson… Award NASD 04/24/1990
89-00855 NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) MICHAEL and MICHELLE DUBARRY NIXON, ) Claimant*, } ) Case J89-00855 vs. Award JOSEPHTHAL & CO., INC.. SHELDON BERMAN and BRUCE ARONSON, Respondents. Heard before the members of the Arbitration Panel:… Award NASD 04/23/1990
88-03694 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wayne J. & Martha Vincent Claimants AWARD #88-03694 vs. Advest, Inc. Cornelius F. Bailey Respondents Case Summary Claimants Wayne J. and Martha Vincent alleged that Respondents Advest, Inc. and Cornelius F.… Award NASD 04/23/1990
89-01666 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Alexander and Wanda Belmont JTWROS vs. Claimant(s) 89-01666 Leonard Tucker, Ray Steinman and David Miller Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Alexander and Wanda Belmont JTWROS alleged… Award NASD 04/23/1990
88-01773 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between T. Jack Bennington and Rita Claimant(s) Bennington vs. Shearson Lehman Brothers, Inc. Respondent(s) and Cesar L. Portugal, Jr. CASE NO. 88-01773 SUMMARY OF ISSUES This case was filed on June 6, 1988. Claimants… Award NASD 04/23/1990
89-01063 APR ?. 3 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Peter LoFurno AWARD Claimant #89-01063 Charles O'Brien Respondent Case Summary Claimant Peter M. LoFurno alleged that Respondent Charles O'Brien failed to properly execute mutual fund transfers in his… Award NASD 04/23/1990
88-03624 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between AJan Kaplan Claimant vs. Shearson Lehman Hutton, Inc. Philip O'Brien Respondent AWARD 188-03624 Case Summary Claimant alleged that Respondents recommended and engaged Claimant in the trading of index options which… Award NASD 04/23/1990
89-02881 APR 20 R£CD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Pricie Brumni vs. Claimant McDonald & Co, Securities, Inc. Respondent AWARD #89-02881 Case Summary Claimant Pricie Brumm alleged that she placed an order to purchase options from Respondent McDonald… Award NASD 04/20/1990
89-02878 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between Rachel Hertz Claimant vs. Robert Todd Financial Corp. Respondent CASE #89-02878 AWARD CASE SUHWRY Claimant is alleging that stock was purchased for her account at a cost of 510,314.35 without her authority or… Award NASD 04/20/1990
88-03238 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Wall Street Clearing Company Claimant vs. Case #88-03238 AWARD Larry Davinsky Respondent CASE SUMMARY Claimant Wall Street Clearing Company alleged that Respondent Larry Davinsky was a customer of Beuret… Award NASD 04/20/1990
89-00221 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Carole B. Williams vs. Claimant Philips, Appel & Walden, Inc. Robert Petrocine Respondents Case #89-00221 AWARD CASE SUMWRY Claimant, Carole B. Williams, alleges that she told Respondent Robert Petrocine,… Award NASD 04/20/1990
88-01186 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William B. Saunders Claimant(s) ARBITRATION vs. AWARD 88-01186 Brooks, Weinger, Robbins & Leeds, n/k/a Greentree Securities Corp. and William Halamicek Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) William B… Award NASD 04/20/1990
89-02275 / - NATIONAL -SSOCIAilON OF :ECURITIE5 :EAL£=S, .'IC ;n the Matter of the -r:?^:-^tion Between John i Dolores Nicnoias ,~!aifnancs •s. iWARD '•lerri 11 Lyncn, ^--erce, -enner ^esDondents ASE '-0 i Smith, Inc. ana Rooert '^avne ames Bowersox SUMMARY QF ISSUES This case was filed on August 14, 1989.… Award NASD 04/19/1990