88-00641 |
NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Alfred N. Bjornsen Claimant vs. First Affiliated Securities, Inc. vs. Thomas Missler Respondents OATH AND AWARD OF ARBITRATOR 88-00641 Having been selected as an arbitrator to consider and determine the matter in…
|
Award |
NASD |
08/01/1989 |
88-02663 |
NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Andrew J. Rego Claimant(s) vs. Rose & Co., Inc. Respondent(s) AWARD 88-02663 The Arbitrator, Neill Edward Hannon, Esq., selected to review and determine a matter in controversy between the above-mentioned…
|
Award |
NASD |
08/01/1989 |
88-02401 |
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Connie Hickman Claimant and Blinder Robinson & Co., Inc. and David Mundy Respondents A W A R D ) 88-240Z ) CASE SUMMARY In a claim filed with the NASD on July 27, 1988, Claimant Connie Hickman ("Hickman")…
|
Award |
NASD |
08/01/1989 |
89-00572 |
NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Timothy Leahy Claimant(s) vs. Olde Discount Stock Brokers Respondent(s) NOTICE OP ARBITRATION AWARD 89-00572 CASE SUMMARY Claimant Timothy Leahy alleged that Respondent Olde Discount Stock Brokers failed to execute…
|
Award |
NASD |
08/01/1989 |
88-02665 |
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration B e t w e e n ^ ) Margaret Madden ) Claimant ) ) vs. ) CASE #88-02665 ) Shearson Lehman Brothers, Inc. ) ) Respondent(s) ) _J CASE SUMMARY The claim in this matter was filed August 22, 1988. Claimant alleged that…
|
Award |
NASD |
08/01/1989 |
MS89-38 |
MUNICIPAL SECURITIES RULEMAKING BOARD In th R.W. a/k/a e Matter V. PETERS, RICKEL of the Arbitration between • RICKEL fc CO., & ASSOCIATES, INC. INC. Claimants, Respondent. AWARD NS89-38 SC9-019 The UNDERSIGNED, pursuant to MSRB Rule G-35, Section 34(f), hereby states as follows: I have been…
|
Award |
MSRB |
08/01/1989 |
87-02662 |
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Arbitration Matter Between REZA AND AZITA SHEYBANI Claimants v. ) Case No. 87-02662 FIRST COMMERCE INVESTMENT SERVICE, INC. ) AND NATIONAL FINANCIAL SERVICES ) CORPORATION ) Respondents ) CASE SUMMARY Claimants, Reza and Azita F. Sheybani ("…
|
Award |
NASD |
07/31/1989 |
88-02259 |
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Arbitration Matter Between DONALD J. AND MARY TARSNEY ) ) Claimants ) v. ) Case No. 88-02259 DEAN WITTER REYNOLDS, INC. ) ) Respondent ) CASE SUMMARY Claimants, Donald J. and Mary Tarnsey ("Tarsneys") alleged the following: 1. On or about…
|
Award |
NASD |
07/31/1989 |
88-00718 |
NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mohammed R. irannezhad Claimant(s) vs. 88-00718 The Stuart-James Co. vs. Eliahu Menashe Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Mohammed R. Irannezhad alleged that Respondent(a) The…
|
Award |
NASD |
07/31/1989 |
88-00450 |
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Paul Burman ) Josephine T. Burman ) Claimants ) ) Case #88-00450 vs. ) Award ) Folger Nolan Fleming Douglas, Inc. Eugene F. Roesser, Jr. Respondents ) CASE SUMMARY Claimants Paul and Josephine T. Burman (…
|
Award |
NASD |
07/31/1989 |
88-00980 |
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Charles E. Coles ) Claimant ) ) Case #88-00980 vs. ) Award ) Charles Schwab & Co., Inc. ) Respondent ) CASE SUMMARY Claimant Charles E. Coles alleges that he ordered Respondent Charles Schwab & Co.,…
|
Award |
NASD |
07/31/1989 |
88-01032 |
HATIOHAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between) DOROTHY B. JESSEE Claimant v. EDWARD D. JONES & CO., INC. ) Respondent ) NASD No. 88-01032 CASE SUWARY Claimant Dorothy B. Jessee ("Jessee") alleged that the Respondent Edward D. Jones ("Jones") engaged in…
|
Award |
NASD |
07/31/1989 |
88-00663 |
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the^Matter of the Arbitration Between) ) Ruth M. Musloe and Marcel la M. Tekstar ) ) Claimants ) and ) A W A R D } 88-00663 Drexel Burnham Lambert and ) Peter and Jane Doe Leifer ) Respondents ) CASE SUMMARY In a claim filed with the NASD on…
|
Award |
NASD |
07/31/1989 |
88-02629 |
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Arbitration Matter Between ) ) GAMBLERS' FIVE ) ) Uaimant J v. ) Case No. 88-02629 ) FIDELITY BROKERAGE SERVICES, INC. ) ) Respondent ) ) CASE SUMMARY Claimant placed a sell order for 5,000 shares of CXR that had experienced a reverse split of…
|
Award |
NASD |
07/31/1989 |
88-02908 |
NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Cowen & Co. Claimant(s) vs. 88-02908 Robin Foley Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(a) Cowen & Co. alleged that Respondent(s) Robin Foley converted funds not belonging to Foley…
|
Award |
NASD |
07/31/1989 |