Arbitration Awards Online

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Award Document Case Summary Document Type Forum Date of Award
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
89-00120 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) STANLEY L. SCHMIDT, ) Claimant, ) ) Case /89-00120 vs. ) Award F. D. RC3ZFTS, INC., LEONARD TUCKER, ) DEAN VERNOIA and JERRY JUDKOWITZ, ) Respondents. ) Heard before the Arbitrator: Marilyn 3. Cane, Esq.… Award NASD 05/04/1990
89-00432 NATIONAL ASSOCIATION OP SECURITIES DEALEHS, INC. la the Matter of the Arbitration Between ) ) SALLY S US SHAN, ) Claimant, ) ) Cast 189-00432 vs - } Award ) DEAN VITTER REYNOLDS and ) DAVID E. JELONEK, , ) Respondents. ) Htard before the member • of the Arbitration Panel » Alexander Eltman, Esq.… Award NASD 05/04/1990
88-03364
Neutral(s): Joseph E. DaGrosa, Diane Getzler, Edmond ****DO NOT USE**** E. Chapus
Hearing Site: New York, NY
 Award FINRA 05/03/1990
89-02750 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Stephen and Barbara Kindle Claimant(s) vs. 89-02750 Adam Fox and Sherwood Capital, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Stephen and Barbara Kindle alleged that Respondent(s) Adam… Award NASD 05/03/1990
88-03364 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Merrill Lynch, Pierce, Fenner & Smith, Inc. Claimant vs. Dr. Elsa M. Lopez Respondent Case #88-03364 AWARD CASE SUMMARY Claimant seeks a debit balance created in October 1987 in Respondent's account as the… Award NASD 05/03/1990
89-03316 NATIONAL ASSOCIATION OF SECURITIES DEALERS T In the Matter of the Arbitration Between Eric P. Tsai Claimant(s) vs. 89-03316 D.H. Blair & Co., Inc. and Michael Xirinachs Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Eric P. Tsai alleged that Respondent(s) D.H. Blair & Co… Award NASD 05/03/1990
89-00147 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Donald Ungar Iris Ungar Claimants vs. Kidder Peabody & Co., Inc. Mark Wildman Gerrard Harris Respondents CASE #89-00147 AWARD CASE SUMMARY Claimants Donald and Iris Unger (the "Ungers") allege that… Award NASD 05/03/1990
89-02285 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration B e t w e e n ) ) Award Marina Kramarov, Claimants } Roza Zborovsky, ) Semyon Zborovsky ) ) NASD No. 89-02285 vs. ) Alex Neyman Respondent SUMMARY OF ISSUES „ „ Claimants alleged Respondent misrepresented the facts… Award NASD 05/01/1990
89-01446 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) MICHAEL F. LITTLE, INDIVIDUALLY ) AND AS TRUSTEE, } ) Claimant ) and ) ) CASE NO. 89-01446 ) DREXEL BURNHAM LAMBERT INCORPORATED, ) ) Respondent ) CASE SUMMARY Michael F. Little ("Claimant"), individually… Award NASD 05/01/1990
90-00134 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert S. Perkins, Jr. Claimant(s) vs. 90-00134 Shearwater Financial Corp. and Steve Wormald Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert S. Perkins, Jr. alleged that Respondent(s)… Award NASD 05/01/1990
88-01897 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between George A. Westcott Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Lyle Schultz Respondents Case 488-01897 AWARD CASE SUMMARY Claimant, George A. Westcott, contends that Lyle Schultz, a financial… Award NASD 05/01/1990
88-03748 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between BARRY G. HUNNEWELL, ) Claimant ) and ) ) CASE NO. 88-03748 SMITH BARNEY HARRIS UPHAM & CO., INC. ) AND LAWRENCE J. CANAVAN, Respondents CASE SUMMARY Barry G. Hunnewell ("Claimant") alleges that Smith… Award NASD 05/01/1990
88-03212 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Anil K. Agarwal, Sudha Agarwal and ) Ansar Khan ) Claimants ) and ) AWARD ) CONSOLIDATED ) Case No. 88-03212 Merrill Lynch Pierce Fenner & Smith and ) and 88-03215 John S. Roberts ) Respondent (s) ) CASE… Award NASD 05/01/1990
89-01160 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between RICHARD ROSEN and PAULINE ROSEN. vs. SHEARSON LEHMAN HUTTON. INC., JOSEPH HUNTING and RICHARD SOMMERS, Claimants, Respondents. Case /89-01160 Award Heard before the members of the Arbitration Panel: Robert… Award NASD 05/01/1990