| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 89-01897 | FEB 15RGCQ NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert S. Ford vs. Claimant First Investors Corporation Walter Selva Respondents AWARD #89-01897 Case Summary Claimant alleged that Respondents misrepresented two securities investment plans to him and… | Award | NASD | 02/26/1990 |
| MS89-84 | MUNICIPAL SECURITIES RULEMAKING BOARD MAR 1 1990 In the Hatter of the Arbitration Between Claimants, V. BOETTCHER & COMPANY, INC. and GREGORY W. KENNEDY, Respondents. AWARD MS 89-84 The undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows. CASE SUHMARY Claimants… | Award | MSRB | 02/26/1990 |
| 89-02721 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mark D. McWilliams Claimant(s) V8 . 89-02721 Graystone Nash, Inc. Ed Ellis Respondent(a) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Mark D. McWilliams alleged that Respondent(a) Graystone Nash, Inc. and Ed… | Award | NASD | 02/23/1990 |
| 88-99925 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) In the Matter of tne Arburatton Between Joseph A. Semany and PaineWebber, inc. and Michael Buckner Claimant Respondents AWARD 88-99925 CASE SUMMARY In a claim filed with the NASD, Claimant Joseph A. Semany alleges that Respondents PaineWebber, Inc… | Award | NASD | 02/21/1990 |
| 88-03560 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between Rafael Cerbon Claimant VS. Merrill Lynch, Pierce, Fenner & Smith, inc. Monarch Life Insurance, Co. Kay-Beth Vietti Joe Van Parys Respondents ) ) Award ) ) ) NASD No. 88-03560 ) ) ) ) ) ) ) ) ' ) ) SUMMARY… | Award | NASD | 02/21/1990 |
| 88-00591 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Hatter of the Arbitration Between ) ) GARY OZGA, ) Claimant, ) ) Case 188-00591 vs. ) Award ) GRAYSTONE NASH, INC., SEAN BOYLE ) and OEHNIS WILLIAMS, ) Respondents. ) Heard before the members of the Arbitration Panel: Arieh Leo Douer Harvin A… | Award | NASD | 02/21/1990 |
| 88-02834 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between STANLEY D. WILLIAMS AND JANAE L. SCHAEFFER Claimants and CASE NO. 88-02834 LAIDLAW, ADAMS & PECK, INC.; ) KUHNS BROTHERS & LAIDLAW, INC.; ) INTEGRATED RESOURCES EQUITY CORPORATION; ) PERSHING DIVISION… | Award | NASD | 02/21/1990 |
| 89-02301 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) ANNA MARIA LUKASZEWSKI TRUST, ) WITOLD LUKASZEWSKI TRUSTEE ) Claimants ) and ) ) CASE NO. 89-02301 ) CALVERT SECURITIES CORP. AND ) KENNETH J. CRYAN ) Respondents ) CASE SUMMARY In a claim filed with the… | Award | NASD | 02/21/1990 |
| 89-02604 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Progressive United Corporation Claimant(s) vs. 89-02604 The Ohio Company Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Progressive United Corporation alleged that Respondent^s) Tne Ohio Company… | Award | NASD | 02/21/1990 |
| 89-02603 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Meridian Strategic Investments, L.P. Claimant(s) vs. The Ohio Company Respondent(s NOTICE OF ARBITRATION AWARD 89-02603 CASE SUMMARY Claimant(s) Meridian Strategic Investments, L.P. alleged that Respondent(s) The… | Award | NASD | 02/21/1990 |
| 89-01547 | NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) IRVING R. and MILDRED NOVACK, ) Claimants, ) ) Case #89-01547 vs. ) Award COMMVEST SECURITIES, INC.. ) Respondent. ) Heard before the members of the Arbitration Panel: Arnold Y. Steinberg, Esq. Arnold Sarrow… | Award | NASD | 02/21/1990 |
| 89-01409 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) Harry and Vicki Leblanc ) Claimants ) and ) A W A R 0 ) 89-01409 Shearson Lehman Hutton and ) Elroy F. Perrien ) Respondents ) CASE SUMMARY In a claim filed with the NASO on or about April 25, 1989, Claimants… | Award | NASD | 02/21/1990 |
| 89-01936 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) EUGENE R. SALAMON ) ) Claimant ) and ) )CASE NO. 89-01936 LEONARD J. MESSINA and FIRST AMERIGROUP ) SECURITIES, INC. ) ) Respondents ) CASE SUMMARY Eugene R. Salamon ("Claimant") alleged that: 1. Leonard J… | Award | NASD | 02/21/1990 |
| 89-00203 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Manuel J. Paikeday vs. Jeffrey A. Wood Claimant Respondent CASE 189-00203 AWARD CASE SUMMARY Claimant Manuel J. Paikeday alleges that Respondent Jeffrey A. Wood grossly misinformed Claimant concerning… | Award | NASD | 02/21/1990 |
| 89-02412 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Sondra Aronson Claintant(s) vs . 89-02412 Howard Edrich Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Sondra Aronson alleged that Respondent(s) Howard Edrich failed to follow Claimant's written… | Award | NASD | 02/20/1990 |
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