| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 89-03183 | NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Christopher Ward Demba Claimant(s) vs. 89-03183 Wall Street Clearing Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Christopher Ward Demba alleged that Respondent(s) Wall Street Clearing Co.… | Award | NASD | 02/28/1990 |
| 89-00054 | NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between } CATHERINE C. and WILLIAM A. GERARD, ) Claimants, ) } Case H9-Q0024 vs. ) Avard XASHNER DAVIDSON"SECURITIES CORPORATION, ) Respondent. ) Heard before the member of the Arbitration Panel: James R. Kennedy Jr… | Award | NASD | 02/28/1990 |
| 89-02063 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration B e t w e e n ) A /' • LJitiJJ^CL k MCX/'U. /•/• O'ttX.na \ •" n ' •-/ n v ( 0 U ) Award Claimant(s) ) ) ) NASD No. vs. ) . /•• -i ) / ) 0 Respondent(s) ) SUMMARY OF ISSUES This case was filed on (Liu Id !??< ?.… | Award | NASD | 02/28/1990 |
| 89-01728 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anthony J. & Rose Taranto Claimants vs. Prudential-Bache Securities, Inc. Richard Porco Respondents AWARD *89-01728 Case Summary Claimants Anthony J. & Rose Taranto alleged that on December 22, 1988 Mr.… | Award | NASD | 02/28/1990 |
| 89-02224 | NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Kathren Efroyra Claimant(s) vs. 89-02224 Stuart McClure and Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Kathren Efroym alleged that Respondent(s) Stuart… | Award | NASD | 02/28/1990 |
| 89-01055 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) JOSEPH H. WALKER, ) Claimant, ) ) Case J89-01055 vs. ) Award ) RALPH LOFFREDO and ) INVESTORS CENTER, INC., ) Respondents. ) ) Heard before the member of the Arbitration Panel: James R. Kennedy Jr., Esq.… | Award | NASD | 02/28/1990 |
| 89-00922 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bonnie Sena vs. Meyer, Kohn & Co. Lou Meyer Larry Kohn Claimant Respondents AWARD #89-00922 Case Summary Claimant claimed for recision based on unsuitable investment recommendations for six (6) securities as… | Award | NASD | 02/28/1990 |
| 89-00245 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Oppenheimer & Co., Inc. Claimant vs. Waieed EL Ansary Respondent CASE #89-00245 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 6 , 1989 Claimant… | Award | NASD | 02/27/1990 |
| 88-99932 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Claimant In the Matter of the Arbitration Between Edward'D. Curry vs. Thomson McKinnon Securities, Inc. Respondent CASE #88-99932 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 5, 1988,… | Award | NASD | 02/27/1990 |
| MS89-39 | MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between DAVID W. KESTERSON, v. BAILEY & ASSOCIATES, INC., Claimant, Respondent. FEB 28 1990 AWARD MS89-39 SC9-019 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimant… | Award | MSRB | 02/27/1990 |
| 88-01359 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AWARD FBMC Financial Corp., dba Claimant ) First Bankers Mortgage Co. CASE #88-01359 vs. E.F. Mutton Mortgage Corp. Respondents and Shearson Lehman Hutton SUMMARY OF ISSUES This case was filed on April 28, 1988. claimants alleged that Claimant and… | Award | NASD | 02/27/1990 |
| 87-00655 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Eugene Passer Claimant vs. Case #87-00655 AWARD Blinder Robinson & Co., Inc. Respondent vs. Doran Greene Third-Party Respondent CASE SUMMARY Claimant Eugene Passer alleged that the Respondent Blinder… | Award | NASD | 02/27/1990 |
| 88-01910 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between Michael T. Long and Stephen E. Gershwind Co-Trustees Claimants vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Thomas Hummer Respondents Award ) NASD No. 88-01910 Merrill Lynch, Pierce Fenner &… | Award | NASD | 02/27/1990 |
| 89-00369 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between. Robert M. Kirby Claimant vs. Robinson Humphrey Co., Inc., also d/b/a Shearson Lehman Mutton, Inc. Gregory Q. Glenn Respondents AWARD *89-00369 Case Summary Claimant Robert M. Kirby alleged that Respondents made an… | Award | NASD | 02/27/1990 |
| 89-00713 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration B e t w e e n ) ) Award Emilie H. Welch Claimant ) ) NASD No. 89-00713 vs. ) PaineWebber, Inc. Respondents Halter Keating SUMMARY OF ISSUES This claim was filed on March 13, 1989. Claimants alleged the following: lack… | Award | NASD | 02/27/1990 |
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