Arbitration Awards Online

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Award Document Case Summary Document Type Forum Date of Award
MS89-85 MUNICIPAL SECURITIES RULEMAKING BOARD rr.r-u *'-^ 23 (591, In the MILLER Matter V. of th & SCHROEDER e Arbitrat FINANCIAL, ion between Claimant, INC., : Respondent. AWARD MS89-85 SC9-033 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimant… Award MSRB 03/23/1990
MS89-58 MUNICIPAL SECURITIES RULEMAKING BOARD m'tb fj-"." r.»i 1990 In the JOHN A.G. J Matter of BARRON V. EDWARDS & & the Arbiti DOROTHY SONS, INC. J 1 ration between BARRON, Claimants, Respondent. AWARD MS89-58 SC9-027 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as… Award MSRB 03/23/1990
88-03735 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John and Rose Ferrera, Claimants vs. Case #88-03735 Award Prudential-Bache Securities, and Richard Sarro, ) Respondents ) ) CASE SUMMARY Claimants allege that Respondents without authorization liquidated their… Award NASD 03/23/1990
88-03762 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ROBERT PEPE, Claimant, vs. DEAN WITTER REYNOLDS and JOHN BABITSKAS, Respondents. Case J88-03762 Award Heard before the members of the Arbitration Panel: Mark Perry, Esq. Michael A. Coco Douglas Delano;, Jr.… Award NASD 03/23/1990
87-00914 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Sara May Schmunk Claimant ) vs. ) AWARD First Florida Securities Group, Respondents ) CASE NO. 87-00914 Inc., Monvest Securities, Inc. and ) Richard S. Hoffman, Jr. ) SUMMARY OF ISSUES This case was filed… Award NASD 03/23/1990
89-01073 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Melvin & Elaine Schwartz Claimants vs. Shearson Lehman Hutton, Inc. Judy Lev Respondents Case * 89-01073 AWARD CASE SUWARY This proceeding was commenced initially on April 10, 1989 by Claimants Melvin and… Award NASD 03/23/1990
89-00642 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between JOSEPH A. VEROLA, Claimant, vs. SHEARSON LEHMAN MUTTON, INC. and ABRAHAM L. LERNER, Respondents. Case /89-00642 Award Heard before the members of the Arbitration Panel: Joseph L. Caruncho, Esq. Harry Polansky… Award NASD 03/23/1990
89-00607 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Evan "Jay" Peterson and Claimant Kathy Peterson vs. Shearson Lehman Hutton, Inc. Respondents Kim Hodges, John Oertle & Stan Collins AWARD CASE #89-00607 SUMMARY OF ISSUES This case was filed on February 27, 1989. Claimants alleged that… Award NASD 03/22/1990
88-02226 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) GULSHAN B. and DALJIT SINGH, ) INDIVIDUALLY AND AS TRUSTEES FOR ) GULSHAN B. SINGH PROFIT SHARING PLAN, ) Claimants, ) ) Case 188-02226 vs• ) Award DREXEL BURNHAM LAMBERT, INC., ) DAVID PINES and GREGORY… Award NASD 03/22/1990
89-01616 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between STEVEN R. JONES AND ANITA M. CRESS Claimants and SPRUNG & WISE SECURITIES, INC., NICKY OIMITRIJEVICH, TIMOTHY WISE, EQUA SEARCH INVESTORS GROUP, AND ANTHONY COLARUSSO Respondents ) CASE NO. 89-01616 CASE… Award NASD 03/21/1990
89-01386 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jeff Stollman Claimant(s) vs. 89-01386 Graystone Nash, Inc. and Barry Bruaer Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Jeff Stollman alleged that Respondent(s) Graystone Nash, Inc. and Barry… Award NASD 03/21/1990
88-01913 Re don NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Donald K. Speirs Claimant vs Shearson Lehman Hutton, Inc. William E. Daugherty, and Richard J. Day Respondent(s) CASE NO. 88-01913 SUMMARY OF ISSUES This case was filed with the NASD on June 14, 1988.… Award NASD 03/20/1990
MS89-98 MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration Between MERTON EPHRAIM, V. Clainant, SHEARSON LEHMAN HUTTON, INC. and WILLIAM BERG, Respondents. AWARD MS89-98 SC9-038 The undersigned, pursuant to section 31 of MSRB rule 6-35, hereby states as follows: CASE SUMMARY Claimant… Award MSRB 03/20/1990
89-01802 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) E. R. Wood and Gladys Wood } ) Claimant(s) ) and ) AWARD ) Case No. 89-1802 Prudential Bache Securities, Inc.; ) Richard Ganley and Stephen P. Ziomek ) Respondent(s) ) ) CASE SUMMARY In a claim filed with… Award NASD 03/20/1990
88-03792 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Anne Ringwalt Corwin Claimant ) vs. Shearson Lehman Hutton, Inc. Respondent AWARD CASE NO. 88-03792 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on… Award NASD 03/20/1990