| 87-02053 |
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) \ James A. and Florence M. and K.A. Knapp and Company, Kirk A. Knapp and Jonathan Edwards Phelps ) Claimants ) } ) Inc.; ) ) ) Respondents ) ) A W A R D 87-2053 and 87-2054 On Thursday, April 27, 1989 in St…
|
Award |
NASD |
05/24/1989 |
| 88-00853 |
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Robert J. Salerno, ) ) Case #88-00853 Claimant ) vs. ) ) Award ) PaineWebber, Inc., ) Shearson Lehman Brothers, Inc. and } Jack Elf, ) Respondents ) On April 7, 1989 and April 24, 1989, the undersigned…
|
Award |
NASD |
05/24/1989 |
| 88-00546 |
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Paul Stottsberry and Patricia Stottsberry, ) Claimant, ) ) Case #88-00546 vs. ) Award ) William B. Barton and ) E.F. Hutton and Co.. Inc., ) Respondent. ) Heard before the Arbitration Panel: George S. Coit…
|
Award |
NASD |
05/24/1989 |
| 88-01429 |
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dean Witter Reynolds, Inc., Claimant vs. Daniel J. Farley, Respondent Case 188-01429 Award On April 12, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions…
|
Award |
NASD |
05/24/1989 |
| 88-00147 |
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Birgitha & Stuart Tray & Tray Associates Claimants vs. Shearson Lehman Hutton, Inc./American Espress Harvey Deutsch Respondents ) Case #88-00147 Award On February 22, 1989 and May 5, 1989, the…
|
Award |
NASD |
05/24/1989 |
| 88-00225 |
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Bobby and Joyce Whitt Claimants ) and } A W A R D ) 88-225 Dean Witter Reynolds-. Inc. and Donald C. Dickson ) Respondents ) On Friday, April 28, 1989 in Nashville, Tennessee, the undersigned arbitrators heard…
|
Award |
NASD |
05/24/1989 |
| 88-02730 |
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between MARILYN C. MONCUS Claimants v. NASD NO. 88-02730 AWARD MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. Respondent On Friday, April 28, 1989, in Nashville, Tennessee, the undersigned arbitrator heard the…
|
Award |
NASD |
05/24/1989 |
| 88-03698 |
NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Quest Capital Strategies, Inc. Claimant(s) vs. Christopher S. Kim and Young Ja Kim Respondent(s) AWARD 88-03698 The Arbitrator/ Randall C. Schakner, selected to review and determine a matter in controversy between…
|
Award |
NASD |
05/24/1989 |
| 88-03842 |
NATIONAL ASSOCIATION Of SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) RONALD E. ERICKSON ) ) Claimant ) v. ) CASE NO. 88-03842 ) AWARD RAFCO FINANCIAL CORPORATION, ) f.n.a. PITTOCK FINANCIAL CORP. ) ) Respondent ) On May 18, 1989, in Minneapolis, Minnesota, the undersigned…
|
Award |
NASD |
05/24/1989 |
| 88-03723 |
NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Albert Cooperman Claimant(s) vs. Kennedy, Cabot & Co., Inc. Respondent(s) AWARD 88-03723 The undersigned, having been selected to review and determine a matter in controversy between the above-mentioned Claimant…
|
Award |
NASD |
05/24/1989 |
| 88-03503 |
NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jodi M. & Dennis P. Colbern Claimant(s) vs. Power Securities, Inc., Ron Bajorek and Dave Eckert Respondent(s) AWARD 88-03503 The undersigned, having been selected to review and determine a matter in controversy…
|
Award |
NASD |
05/24/1989 |
| 87-01278 |
NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. C^' r V.. In the Matter of the Arbitration Between CHESTER YU, Claimant, vs. Case /87-01278 Award FIRST JERSEY SECURITIES, INC.. ROBERT E- BRENNAN and SHERMAN MILES, Respondents. Heard before the members of the Arbitration Panel: Marilyn B. Cane, Esq…
|
Award |
NASD |
05/24/1989 |
| 88-99926 |
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. Claimant ELLIOT & BECKY RUBEN Respondents CASE NO. 88-99926 AWARD • On May 17, 1989 in Minneapolis, Minnesota, the undersigned arbitrator heard the…
|
Award |
NASD |
05/24/1989 |
| 88-02897 |
9ioic3o6 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Thomas L. McNeely, M.D. Claimant(s) vs. E.F. Hutton & Co., Inc. Respondent(s) AWARD 88-02897 The Arbitrator, David Schwartz, Esq., selected to review and determine a matter in controversy between the…
|
Award |
NASD |
05/24/1989 |
| 87-02054 |
NOTICE: An award was rendered in this case, but is not available.
|
Award |
NASD |
05/24/1989 |
