Arbitration Awards Online

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Award Document Case Summary Document Type Forum Date of Award
88-02884 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) DEAN WITTER REYNOLDS, INC. ) Claimant ) and ) CASE NO. 88-02884 GORDON FORBES ) Respondent ) ) CASE SUMMARY Dean Witter Reynolds, Inc. ("Claimant") alleged that Gordon Forbes ("Respondent") owes Claimant for… Award NASD 04/05/1990
89-02877 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Felix and Linda Ferrise Claimant(s) vs. Blinder, Robinson & Co., Inc. and Mark Spencer Respondent(a) NOTICE OF ARBITRATION AWARD 89-02877 CASE SUMMARY Claimant(s) Felix and Linda Ferrise alleged that Respondent(… Award NASD 04/05/1990
89-00363 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Elsmarie Norby Claimant vs. PaineWebber, Inc. and Respondents Rebecca Miller AWARD CASE NO. 89-00363 SUMMARY OF ISSUES This case was filed on February 6, 1989. Claimant alleges that Respondents induced her to… Award NASD 04/05/1990
89-01662 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Elizabeth F. Hartwell VS. Claimant AWARD 189-01662 Shearson Lehman Mutton, Inc. Respondent Case Summary Claimant Elizabeth Hartwell alleged that Respondent Shearson Lehman Mutton, Inc. placed her in unsuitable… Award NASD 04/05/1990
89-01149 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) SCOBEE COMBS FUNERAL HOME, INC., ) Claimant, ) ) Case #89-01149 vs. ) Award SHEARSON LEHMAN HUTTON. INC. ) and DONALD FENTON, ) Respondents. ) 7 Heard before the members of the Arbitration Panel: Anthony J.… Award NASD 04/05/1990
90-00091 NOTICE: An award was rendered in this case, but is not available. Award NASD 04/04/1990
90-05 Aivit-.-i:: :.,M. ...•r..^c.ii IN THE MATTt f. ARBITRATli BETWEEN :ASE : Edna Lavey v. Spear Leeds & Kellogg/Investors Co. v. PaineWebber v. CRT Options V. O'Connor & Associates v. Z-Ilchael Schwartz ^ '^O 'O^ 3ATE FILED: 7/14/RR. FIRST SCHEDULED ^/^/^^ DECIDED .;ASE SUMMARY: * Market crash… Award AMEX 04/04/1990
89-03592 G NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James R. Hampton Claimant(s) vs . Robert Michael Saflin Respondent(s) NOTICE OF ARBITRATION AWARD 89-03592 CASE SUMMARY Claiinant(s) James R. Hampton alleged that Respondent (s) Robert Michael Saflin made… Award NASD 04/03/1990
89-03564 NOTICE OF ARBITRATION AHARD 89-03564 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Russell L. Maik Claimant(s) vs. Dean Witter Reynolds, Inc. Respondent(3) [ CASE SUMMARY Claimant(s) Russell L. Maik alleged that Respondent{s) Dean Witter Reynolds, Inc. allowed… Award NASD 04/03/1990
MS89-64 m APR 6 }99o d^fiih In the Matter of the Arbitration Between Claimants, V. NORRIS & HIRSHBER6, INC. and GARY L. KANE, Respondents. *'-»V.;,^3, AWARD MS89-64 SC9-032 The undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: SUMMARY OF THE ISSUES DECIDED I. Whether or… Award MSRB 04/03/1990
88-01569 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between David C. Black, Claimant vs. Shearson Lehman Mutton, Inc., and Roger Reynolds, Respondents Case #88-01569 Award CASE SUMMARY Claimant, David C. Black, alleged that Respondent, Roger Reynolds, failed to follow… Award NASD 04/03/1990
89-03442 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PaineWebber, Inc. Claimant(s) vs. Christopher Felch Respondent(s) NOTICE OF ARBITRATION AWARD 89-03442 CASE SUMMARY Claimant(s) PaineWebber, Inc. alleged that Respondent(s) Christopher Felch ordered the purchase of… Award NASD 04/03/1990
89-02675 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John A. Foster Claijnant(s) vs. 89-02675 Amerimutual Corp. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) John A. Foster alleged that Respondent(s) Amerimutual Corp. made misrepresentations.… Award NASD 04/03/1990
89-03370 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anthony Fieldhouse Clairaant(s) vs. 89-03370 Fidelity Brokerage and Philadelphia Options Exchange Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Anthony Fieldhouse alleged that Respondent(s)… Award NASD 04/03/1990
89M020 IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF IHE CHICAGO BOARD OPTIONS E50JANGE, INC. IN THE MAITER OF Oechsel Initiating Party and McLaughlin Responding Party File No. 89-M-20 AWAIO o The above-captioned parties appeared at a hearing on March 20, 1990, and had full opportunity to present… Award CBOE 04/02/1990