Arbitration Awards Online

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Award Document Case Summary Document Type Forum Date of Award
88-03933 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Jeffrey R. Miller, Executor Claimant ) of the Estate of Esther Miller ) and Rory A. Miller ) vs. ) AWARD ) Shearson Lehman Hutton, Inc. Respondents ) CASE NO. 88-03933 and Andrew Tse ) SUMMARY OF ISSUES… Award NASD 04/02/1990
88-02451 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Dale 0. Schwartzenhauer Claimant } vs. ) AWARD Greenfield/Campbell, Inc. and Respondents ) CASE NO. 88-02451 Charles Campbell ) SUMMARY OF ISSUES This case was filed on August 1, 1988. Claimant alleged the… Award NASD 04/02/1990
88-01337 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration B e t w e e n ) ) ) Award William G. Teufel Claimant ) ) ) NASD No. 88-01337 vs. ) Pennsylvania Securities Co. Respondents ) Marvin Raff ) ) SUMMARY OF ISSUES This case was filed on April 26, 1988. Claimant alleged… Award NASD 04/02/1990
89-01153 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between ) ) ) Award Robert James Raphael Claimant ) ) ) NASD No. 89-01153 vs. ) ) W.J. Gallagher & Co. Respondents ) Gary Miller ) SUWARY OF ISSUES This case was filed on April 17, 1989. Claimant alleged lack 7… Award NASD 04/02/1990
89-07 IN THL M.--:. E'-? GF Ar ."< CH.6.Ni1Ji .j.^ M BETWEEN :ASE: JAMES CHAMBERS V. A.G. EDWARDS & SONS, INC ^^- 0^7 3ATE FILED: 3/17/89 :ASE SUMMARY:« FIRST SCHEDULED DECIDED RESPONDENT'S THIRD PARTY'S INITIALS CLAIMANT'S INITIALS SESSIONS: Arbitration based on the pleadings submitted to sole… Award AMEX 03/31/1990
90-00055 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John N. Taylor, Jr. on behalf of Margaret Helen Taylor Claimant(s) vs. 90-00055 Prudential-Bache Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) John N. Taylor, Jr. on behalf of… Award NASD 03/31/1990
89-02925 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard P. Jones Claimant(s) vs. 89-02925 Sprung & Wise Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Richard P. Jones alleged that Respondent(s) Sprung & Wise… Award NASD 03/30/1990
89-03180 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lorraine F. O'Connell Claimant(s) vs. Prudential-Bache Securities, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD 89-03180 CASE SUMMARY Claimant(s) Lorraine F. O'Connell alleged that Respondent(s) Prudential-Bache… Award NASD 03/30/1990
89-03421 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Derek M. Gorg Claimant(s) vs. 89-03421 Dean Witter Reynolds, Inc. and David A. West Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Derek M. Gorg alleged that Respondent(s) Dean Witter Reynolds,… Award NASD 03/30/1990
89-03403 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edward E. Atiyeh Claimant(s) ARBITRATION vs. AWARD 89-03403 E.F. Hutton fr Co. (Shearson Lehman Hutton, Inc.} Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) Edward E. Atiyeh alleged that Respondent(s) E.F. Hutton… Award NASD 03/30/1990
89-03241 NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Dean and Marcia McHan Clairaant(s) vs. 89-03241 Fidelity Investments and Fidelity USA Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Dean and Marcia McHan alleged that Respondent(s) Fidelity… Award NASD 03/30/1990
89-02214 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between BSI Holdings, Inc. Claimant (s) vs. 89-02214 Car-Life Transmissions Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) BSI Holdings, Inc. alleged that Respondent(s) Car-Life Transmissions stopped… Award NASD 03/30/1990
89-00273 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Larry J. Dixon Claimant vs. Connecticut National Bank CNB Discount Brokerage, Inc. Respondents CASE #89-00273 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on… Award NASD 03/30/1990
89-01215 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Frances Lucha vs. Shearson Lehman Mutton, Inc. Jack Klein Claimant Respondents CASE *89-01215 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 25, 1989… Award NASD 03/30/1990
87-02459 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between George Womer Claimant vs. Merrill Lynch Pierce Fenner & Smith, Inc. Robert Berry Diane Spencer Respondents CASE #87-02459 AWARD CASE SUMMARY In a claim filed with the National Association of Securities… Award NASD 03/30/1990