Arbitration Awards Online

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Award Document Case Summary Document Type Forum Date of Award
89-03059 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George Matray Claimant(s) vs. Stuart-James Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-03059 CASE SUMMARY Claimant(s) George Matray alleged that Respondents) Stuart-James Co., Inc. acted in an… Award NASD 04/24/1990
89-02573 • -..- r» . • ^ S NOTICE 0? ARBITRATION AWARD 39-02573 In the Matter of the Arbitration Between Ccr.ald /Sirens Claimants) vs. Financial Clearing and Services Corp. vs. Rushnr.are Securities, John Rick and Harvey I. Hcutkin Respondent (s) 'I CASE SIH-LMARY Claimant(s) Donald Ahrsns alleged that… Award NASD 04/24/1990
88-02563 NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) ) ROBERT H. and GLORIA S. HUDLER, ) Claimants, ) ) Case /88-02563 vs. ) Award ) KIDDER PEABODY & CO. and MYRON ENGERMAN, ) Respondents. ) ) Heard before the members of the Arbitration Panel: Myron Dunay… Award NASD 04/24/1990
89-00315 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) ROBERT J. (c CHARLOTTE M. WINE, ) Claimants, ) ) Case 189-00315 vs. ) Award ) BLINDER. ROBINSON & COMPANY, INC., } Respondent. ) ) Heard before the members of the Arbitration Panel: Guthrie F. Crowe… Award NASD 04/24/1990
89-00211 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gladys M. Cause Claimant(s) vs. 89-00211 Thomson McKinnon Securities, Inc. and Stan Griner Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Gladys M. Gause alleged that Respondent(s) Thomson… Award NASD 04/24/1990
88-02276 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. — » — — ••^•.^••••.««»^*»» — — — —» — •» — — — — •**• — — — — ••—•»• — — — »••••»«• — ^•••••••« In the Matter of the Arbitration Between SYLVIA ROSENTHAL and SANDRA COHEN, JTWROS, Claimants, vs. } Case /88-02276 J. T. MORAN & CO.. STAN LEVIN and… Award NASD 04/24/1990
89-03366 NATIONAL ASSOCIATION OF SECURITIES DEALERS "*• In the Matter of the Arbitration Between Lary Stuart Mahoney Claimant(s) vs. 89-03366 K. Brett Thackston and Wheat First Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY tf Claimant (s) Lary Stuart Mahoney alleged that Respondent… Award NASD 04/24/1990
90-00136 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael Lucarelli Claimant(s) ARBITRATION vs. AWARD 90-00136 Greentree Securities and John Irons Respondent(s) NOTICE OP CASE SUMMARY Claimant(s) Michael Lucarelli alleged that Respondent(s) Greentree Securities and… Award NASD 04/24/1990
90-00003 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Julius Stern Claimant(s) vs. 90-00003 Prudential-Bache Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Julius Stern alleged that Respondent(s) Prudentiai- Bache Securities, Inc.… Award NASD 04/24/1990
88-03694 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wayne J. & Martha Vincent Claimants AWARD #88-03694 vs. Advest, Inc. Cornelius F. Bailey Respondents Case Summary Claimants Wayne J. and Martha Vincent alleged that Respondents Advest, Inc. and Cornelius F.… Award NASD 04/23/1990
88-03624 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between AJan Kaplan Claimant vs. Shearson Lehman Hutton, Inc. Philip O'Brien Respondent AWARD 188-03624 Case Summary Claimant alleged that Respondents recommended and engaged Claimant in the trading of index options which… Award NASD 04/23/1990
89-00855 NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) MICHAEL and MICHELLE DUBARRY NIXON, ) Claimant*, } ) Case J89-00855 vs. Award JOSEPHTHAL & CO., INC.. SHELDON BERMAN and BRUCE ARONSON, Respondents. Heard before the members of the Arbitration Panel:… Award NASD 04/23/1990
89-01666 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Alexander and Wanda Belmont JTWROS vs. Claimant(s) 89-01666 Leonard Tucker, Ray Steinman and David Miller Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Alexander and Wanda Belmont JTWROS alleged… Award NASD 04/23/1990
88-01773 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between T. Jack Bennington and Rita Claimant(s) Bennington vs. Shearson Lehman Brothers, Inc. Respondent(s) and Cesar L. Portugal, Jr. CASE NO. 88-01773 SUMMARY OF ISSUES This case was filed on June 6, 1988. Claimants… Award NASD 04/23/1990
89-01063 APR ?. 3 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Peter LoFurno AWARD Claimant #89-01063 Charles O'Brien Respondent Case Summary Claimant Peter M. LoFurno alleged that Respondent Charles O'Brien failed to properly execute mutual fund transfers in his… Award NASD 04/23/1990