Arbitration Awards Online

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Award Document Case Summary Document Type Forum Date of Award
88-01186 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William B. Saunders Claimant(s) ARBITRATION vs. AWARD 88-01186 Brooks, Weinger, Robbins & Leeds, n/k/a Greentree Securities Corp. and William Halamicek Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) William B… Award NASD 04/20/1990
89-02881 APR 20 R£CD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Pricie Brumni vs. Claimant McDonald & Co, Securities, Inc. Respondent AWARD #89-02881 Case Summary Claimant Pricie Brumm alleged that she placed an order to purchase options from Respondent McDonald… Award NASD 04/20/1990
89-01918 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Aroitration Between ) Kevin & Sally Lowery Claimants ) vs. ) AWARD Fidelity Brokerage Services, Inc. Respondent ) CASE NO. 89-01918 Heard Before the Arbitration Panel: Owen Guinn Smith SUWARY OF ISSUES -* This case was filed… Award NASD 04/19/1990
88-03990 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Daniel Schofield Claimant ) ) vs. ) AWARD ) Atlanta-One Corporation Respondent } CASE NO. 88-03990 SUMMARY OF ISSUES Claimant alleged Respondent's broker misrepresented the risks of investing in foreign… Award NASD 04/19/1990
89-02275 / - NATIONAL -SSOCIAilON OF :ECURITIE5 :EAL£=S, .'IC ;n the Matter of the -r:?^:-^tion Between John i Dolores Nicnoias ,~!aifnancs •s. iWARD '•lerri 11 Lyncn, ^--erce, -enner ^esDondents ASE '-0 i Smith, Inc. ana Rooert '^avne ames Bowersox SUMMARY QF ISSUES This case was filed on August 14, 1989.… Award NASD 04/19/1990
89-03443 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PaineWebber, Inc. Claimant(s) vs. 89-03443 Kyle E. Marburger Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) PaineWebber, Inc. alleged that Respondent(s) Kyle E. Marburger has not paid Claimant… Award NASD 04/18/1990
89-01974 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) HOMER F. PITTMAN ) Claimant ) v. ) NASD NO. 89-01974 OARYL PARIS ) Respondent ) CASE SUMMARY Homer Pittman ("Claimant") alleges that Daryl Paris ("Respondent") did not execute a sell order upon Claimant… Award NASD 04/18/1990
89-00416 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Orlan & Jean Wood Claimants ) vs. ) AMENDED AWARD Shearson Lehman Mutton, Inc. Respondent ) CASE NO. 89-00416 SUMMARY OF ISSUES This case was filed on February 13, 1989. Claimants alleged that Respondent… Award NASD 04/18/1990
89-01820 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of -the Arbitration Between ) Jeffrey Alan Feldman Claimant ) vs. ) AWARD Charles Schwab & Co., Inc. Respondent ) CASE NO. 89-01820 SUMMARY OF ISSUES This case was filed on June 23, 1989. Claimant Jeffrey Alan Feldman alleges that… Award NASD 04/18/1990
89-01004 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Victor Hanson Claimant ) ) vs. ) AWARD ) Power Securities, Inc. Respondent ) CASE NOS. JJ9-Q,IQ.Q4 ) 89-01017 SUMMARY OF ISSUES These cases were filed on April 4, 1989. On December 19, 1989, the cases were… Award NASD 04/18/1990
89-00894 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Peter A. Crebbin Claimant ) ) vs. ) AWARD ) Steinberg & Lyman and Respondents ) CASE NO. 89-00894 Brendan King } SUMMARY OF ISSUES This case was filed on March 21, 1989. Claimant Peter A. Crebbin… Award NASD 04/18/1990
89-03570 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PaineWebber, Inc. Claimant(s) vs . Patrick Lavato Respondent(s) NOTICE OF ARBITRATION AWARD 89-03570 CASE SUMMARY Claimant(s) PaineWebber, Inc. alleged that Respondent(s) Patrick Lavato has not paid Claimant amount… Award NASD 04/18/1990
89-01017 NOTICE: An award was rendered in this case, but is not available. Award NASD 04/18/1990
89-02593 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Narhari J. Patel Claimant(s) vs. 89-02593 Kennedy, Cabot & Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Narhari J. Patel alleged that Respondent(s) Kennedy, Cabot & Co. stopped all… Award NASD 04/18/1990
90-00068 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Hugh M. Robinson Claimant(s) vs. Monmouth Investments, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 90-00068 CASE SUMMARY Claimant(s) Hugh M. Robinson alleged that Respondent(s) Monmouth Investments, Inc. made… Award NASD 04/17/1990