Arbitration Awards Online

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Award Document Case Summary Document Type Forum Date of Award
90-00735 N.A.S.D. AWARD Arbitration ® National Association of NATIONAL ASSOCIATION OF SECURITIES DEALERS O^E^f B^ar Suite 1000 Ft. Lauderdale, Rorida 33301 in the Matter of the Arbitration Between t 305 ) 522-7391 Name Qf_ClaiiB&nt.fs^ Claire Keneally CASE #90-00735 Name of R&SCCTKtenti f S1 Sally… Award NASD 04/09/1990
90-00018 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between | PaineWebber, Inc. Claimant(s) vs. John T. and Joann Barrett Respondent(s} CASE SUMMARY Claiiitant(s) PaineWebber, Inc. alleged that Respondent(s) John T. and Joann Barrett requested the sale of certain securities… Award NASD 04/06/1990
89-03472 NATIONAL ASSOCIATION OF SECURITIES DEALERS •*- In the Matter of the Arbitration Between Phyllis Shubak Claimant(s) vs. 89-03472 Richard Morris & Carlos Guavara Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Phyllis Shubak alleged that she was charged an early withdrawal fee… Award NASD 04/06/1990
89-03148 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Larry E. Harris Enterprises, Inc. et al Claimant(s) vs. 89-03148 Shearson Lehman Button, Inc. Prudential-Bache Securities, Inc., et al Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Larry E.… Award NASD 04/06/1990
89-03383 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Andrew M. and Nancy J. Germain vs. Fidelity Brokerage Services, Inc. Claimant(s) Respondent(a) NOTICE OF ARBITRATION AWARD 89-03383 CASE SUMMARY Claimant(s) Andrew M. and Nancy J. Germain alleged that Respondent(s)… Award NASD 04/06/1990
90-00139 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John L. Barron Claimant(s) vs. 90-00139 Blinder, Robinson fi Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) John L. Barron alleged that Respondents) Blinder, Robinson & Co., Inc.… Award NASD 04/06/1990
88-01622 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the ,-»'^b-.tration Between Joseph and Arlene Burruano CIaimants vs. Thomson McKinnon Securities, Inc. James E. Taylor Respondents In the Matter of the Arbitration Between Samuel and Grace Burruano AWARD #88-00630 CIaimants vs. Thomson… Award NASD 04/05/1990
89-03571 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gary and Beverly Kilkenny Claimaat(s) vs . Drexel Burnham Lambert, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-03571 CASE SUMMARY Claimant(3) Gary and Beverly Kilkenny alleged that Respondent{s) Drexel Burnham… Award NASD 04/05/1990
87-01630 7 . c L2 VniiimR Number. NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. John Marshall Respondent AWARD CASE NO. 87-01630 SUWARY OF ISSUES This case was filed on August 28, 1987. Claimant PaineWebber, Inc. alleged that… Award NASD 04/05/1990
88-00968 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between CELIA KUSPIT, JESSICA FERGUS and EILEEN KOSLOV, Claimants, vs . ALAN BESHANY. STANLEY LEVIN. ALVIN ROSENBLUM and NORMAN ROBBINS, Respondents. Case /88-00968 A^ard Heard before the members of the Arbitration… Award NASD 04/05/1990
88-01185 05 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Zdzislaw Jess & Christina Dudzinski Claimants vs. Jane Nize Investment Bankers & Brokers, Inc. Respondents and Lech Dlugolecki Claimant vs. Jane Nize Investment Bankers & Brokers, Inc. Respondents… Award NASD 04/05/1990
88-01633 05 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Zdzislaw Jess & Christina Oudzinski Claimants vs. Jane Nize Investment Bankers & Brokers, Inc. Respondents and Lech Dlugolecki Claimant vs. Jane Nize Investment Bankers & Brokers, Inc. Respondents… Award NASD 04/05/1990
90-00281 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Daniel T. and Martha Y. Yap Claimant(s) vs. 90-00281 Fidelity Investments Brokerage Services Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Daniel T. and Martha Y. Yap alleged that Respondent(s)… Award NASD 04/05/1990
90-00276 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Barbara Goldman Claimant(s) vs. 90-00276 Shelter Rock Securities Corp. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Barbara Goldman alleged that Respondent(s) Shelter Rock Securities Corp.… Award NASD 04/05/1990
90-00184 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John L. Barron Claimant(s) vs. 90-00184 Bagley Securities, Inc. Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) John L. Barron alleged that Respondent(s) Bagley Securities, Inc. sold to Claimant… Award NASD 04/05/1990