Arbitration Awards Online

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Displaying 64156 - 64170 of 65980
Award Document Case Summary Document Type Forum Date of Award
90-00012 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jack B. Hayes Claimant(s) vs. 90-00012 Ed Harris and Vicente Blaz Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Jack B. Hayes alleged that Respondent(s) Ed Harris and Vicente Blaz failed to… Award NASD 03/26/1990
89-01637 NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between John A. Mikula Claimant(s) vs. David Capin vs. Jonathan Elyachar and E.F. Button and Co., Inc. a/k/a Shearson Lehman Hutton, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-01637 CASK SUMMARY Claimant(s) John A.… Award NASD 03/26/1990
88-03304 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sam Benson - Trustee vs. Dean Witter Reynolds, Inc. Claimant Respondent AWARD ) CASE #88-03304 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers (NASD) on October 25,… Award NASD 03/26/1990
89-01838 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David and Mary Stratton Claimant(s) vs. 89-01838 Monmouth investments, Jack Mondel and David Haber Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) David and Mary Stratton alleged that Respondent(s… Award NASD 03/26/1990
89-00986 NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) JONATHAN B. SMALL, ) Claimant, ) ) Case 189-00996 vs. ) Award ROBERT MERRIFIELD, MICHAEL GARSON ) and RICHARD MARCHESE, ) Respondents. ) Heard before the member of the Arbitration Panel: Alexander Eltman,… Award NASD 03/26/1990
89-03476 NATIONAL ASSOCIATION OF SECURITIES DEALERS VCiuii: Year ?6' ; Numoer In the Matter of the Arbitration Between Henry A. Thur, Jr. Claimant(s) vs. Quick & Reilly, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-03476 CASE SUHH/UIT Claimant(s) Henry A. Thur, Jr. alleged that Respondent{s) Quick… Award NASD 03/26/1990
89-01441 NATIONAL ASSOCIATION OF SECURITIES DEALERS, IMC. In the Matter of the Arbitration Between Oppenheimer & Co., Inc, vs. Claimant Gary Clark Respondent AWARD CASE #89-01441 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers (NASD) on May 15, 1989. Claimant… Award NASD 03/26/1990
MS89-85 MUNICIPAL SECURITIES RULEMAKING BOARD rr.r-u *'-^ 23 (591, In the MILLER Matter V. of th & SCHROEDER e Arbitrat FINANCIAL, ion between Claimant, INC., : Respondent. AWARD MS89-85 SC9-033 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimant… Award MSRB 03/23/1990
MS89-58 MUNICIPAL SECURITIES RULEMAKING BOARD m'tb fj-"." r.»i 1990 In the JOHN A.G. J Matter of BARRON V. EDWARDS & & the Arbiti DOROTHY SONS, INC. J 1 ration between BARRON, Claimants, Respondent. AWARD MS89-58 SC9-027 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as… Award MSRB 03/23/1990
87-00914 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Sara May Schmunk Claimant ) vs. ) AWARD First Florida Securities Group, Respondents ) CASE NO. 87-00914 Inc., Monvest Securities, Inc. and ) Richard S. Hoffman, Jr. ) SUMMARY OF ISSUES This case was filed… Award NASD 03/23/1990
88-03735 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John and Rose Ferrera, Claimants vs. Case #88-03735 Award Prudential-Bache Securities, and Richard Sarro, ) Respondents ) ) CASE SUMMARY Claimants allege that Respondents without authorization liquidated their… Award NASD 03/23/1990
88-03762 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ROBERT PEPE, Claimant, vs. DEAN WITTER REYNOLDS and JOHN BABITSKAS, Respondents. Case J88-03762 Award Heard before the members of the Arbitration Panel: Mark Perry, Esq. Michael A. Coco Douglas Delano;, Jr.… Award NASD 03/23/1990
89-01073 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Melvin & Elaine Schwartz Claimants vs. Shearson Lehman Hutton, Inc. Judy Lev Respondents Case * 89-01073 AWARD CASE SUWARY This proceeding was commenced initially on April 10, 1989 by Claimants Melvin and… Award NASD 03/23/1990
89-00642 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between JOSEPH A. VEROLA, Claimant, vs. SHEARSON LEHMAN MUTTON, INC. and ABRAHAM L. LERNER, Respondents. Case /89-00642 Award Heard before the members of the Arbitration Panel: Joseph L. Caruncho, Esq. Harry Polansky… Award NASD 03/23/1990
88-02226 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) GULSHAN B. and DALJIT SINGH, ) INDIVIDUALLY AND AS TRUSTEES FOR ) GULSHAN B. SINGH PROFIT SHARING PLAN, ) Claimants, ) ) Case 188-02226 vs• ) Award DREXEL BURNHAM LAMBERT, INC., ) DAVID PINES and GREGORY… Award NASD 03/22/1990