Arbitration Awards Online

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Award Document Case Summary Document Type Forum Date of Award
89-03151 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert and Kathyrn Wilcox Claimant(s) vs. 89-03151 Prudential-Sachs Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Robert and Kathyrn Wilcox alleged that Respondents) Prudential… Award NASD 05/10/1990
89-02185 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Kevin M. McDonagh ) ) Claimant(s) ) ) and ) CASE NO. 89-02185 ) Allied Capital Group ) Pamela Rybacki ) ) Respondent(s) ) ) CASE SUMMARY In a claim filed with the NASD on or about August 3, 1989, Claimant… Award NASD 05/09/1990
88-01290 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between Eric Mitkus vs. Claimant CASE *88-01290 AWARD Bear, Stearns & Co., Inc. Loren Ben Respondents CASE SUMMARY Claimant, Eric Mitkus, alleges in his four-count Statement of Claim that Respondents Bear, Stearns… Award NASD 05/09/1990
89-01739 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) In the Hatter of the Arbitration Between ) ) Paul J. Abramscn Claimant ) ) v*. ) AWARD ) M. B. Vick & Company, Inc. and Respondents ) CASE NO. 89-01739 Peter Vick ) ) SUMMARY OF ISSUES This case was filed on June 14, 1989. Claimant Paul J.… Award NASD 05/08/1990
88-03509 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert D. waterman, Sr. Claimant vs. Shearson Lehman Mutton, Inc. Donald M. Donaldson Respondents AWARD #88-03509 Case Summary Claimant alleged that Respondents Shearson Lehman Mutton, Inc. and John M. Donaldson… Award NASD 05/08/1990
89-02668 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Charles Schwab & Co., Inc. Claimant vs. Harry Flitter and Ruth Flitter Respondents CASE SUMMARY Case #89-02668 AWARD Claimant seeks a debit balance created in Respondent's account during October 1987 when… Award NASD 05/08/1990
88-01318 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant(s) vs. -83-01318 Steve Koonin Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Dean Witter Reynolds, Inc. alleged that Respondent(s) Steve Koonin owes the… Award NASD 05/07/1990
90NM001 o IN ARBITRATICW UNDER CHAPTER XVIII OF THE RULES OF TEIE CHICAGO BOARD OPTIONS EXCHANGE, INC, IN THE MATTER OF Smith Initiating Party and Fidelity Brokerage Services Responding Party File No, 90-NM-l AWARD The above-captioned parties had full opportunity to present arguments and evidence. Having… Award CBOE 05/07/1990
89NM032 o IN ARBITRATICN UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INC. IN THE MATTER OF ^^ector Initiating Party and Shearson Lehman Hutton Responding Party File No. 89-NM-32 AVC\RD Hie above-captioned parties had full opportunity to present arguments and evidence. Having… Award CBOE 05/07/1990
89NM028 o IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES CF IHE CHICAGO BOARD OPTIONS EXCHANGE, INC. IN IHE MATTER CF LoGiudice Initiating Party and thcmson McKinnon/Miringhoff Responding Party File No. 89-NM-28 AWARD The above-captioned had full opportunity to present arguments and evidence. Having been… Award CBOE 05/07/1990
89NM025 IN ARBlTRATIOSr UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INC. IN THE MAITER OF Smith Initiating Party and Prudential-Bache Securities Responding Party Arbitration File No. 89-NM-25 APflARD The captioned matter was suhmitted on November 19, 1989, The named parties… Award CBOE 05/07/1990
89NM023 IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INC. IN THE MATTER OF Plant Initiating Party and Fidelity Brokerage Services Responding Party File No. 89-NM-23 AWARD o The above-captioned parties had full opportunity to present arguments and evidence. Having… Award CBOE 05/07/1990
89-02104 MAY 08 RECO NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard J. Ponds, Jr. Claimant vs. Smith Barney, Harris, Upham & Co., Inc. Timothy K. Saint-Maxen Respondents AWARD #89-02104 Case Summary Claimant Richard J. Ponds, Jr. alleged that Respondents… Award NASD 05/04/1990
89-02472 NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC, IN THE MATTER OF THE ARBITRATION BETWEEN Sandra Greenblatt Claimant vs. Case #89-02472 Award Shearson Lehman Mutton, Inc. and Victor Linell Respondents CASE SUWARY Claimant Sandra Greenblatt alleged that the Respondent Victor Linell opened a margin… Award NASD 05/04/1990
89-00726 NATTQvy. HSSOCIflTTQN QF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATE BETWEEN Cowen & Company Claimant vs. Henrv Stojowski Respondent "S. Viceroy International Securit'^s •\vin Bakal Sobert Onesti Respondents Case =89-00726 AWARD CASE SUMMARY Claimant Cowen & Company (" ("… Award NASD 05/04/1990