Arbitration Awards Online

Sort: Most Relevant | Most Recent
Displaying 64036 - 64050 of 66065
Award Document Case Summary Document Type Forum Date of Award
89-00573 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Cisca Brier Shapero Claimant ) } vs. ) AWARD ) Dean Witter Reynolds, Inc. Respondents ) CASE NO. 89-00573 and Glenn C. Palmer ) SUMMARY OF ISSUES This case was filed with the National Association of… Award NASD 05/01/1990
87-01460 0 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Sherman and Marjorie Herrington Claimants vs. AWARD #87-01460 Merrill Lynch, Pierce, Fenner & Smith, Inc. William J. Grace, Jr. Respondents Case Summary Claimants Sherman and Marjorie Herrington alleged that… Award NASD 04/30/1990
88-02814 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Lenore T. Mancini Claimant vs. Blinder Robinson & Co., Inc. David A. Sabens Paul Roussell Respondents AWARD #88-02814 On January 22, 1990 and March 6, 1990 in three sessions in New York City the… Award NASD 04/30/1990
89-01537 MAY 0 '• RECD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Elvira Zubiaurre vs. Mikai & Co., Inc. Claimant Respondent AWARD #89-01537 Case Summary Claimant Elvira Zubiaurre alleged that Respondent Mikai & Co., Inc. misrepresented a high risk investment… Award NASD 04/30/1990
89-01209 NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION Anthony Valente Case #89-01209 Claimant AWARD vs. Anthony Pallo Respondent CASE SUMMARY Claimant Anthony Valente alleged that the Respondent Anthony Pallo misrepresented the quality and safety of the Putnam High… Award NASD 04/30/1990
89-01298 NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Michael & Eve Lohnes Claimants vs. Hakefield Financial Corporation and George Palefsky Respondents Case *89-01298 AWARD CASE SUMMARY Claimants Michael end Eve Lohnes alleged that Respondent George Palefsky… Award NASD 04/30/1990
88-02501 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wi11iam Schroeter Rosemarie Tort vs. Claimants Philips, Appel & Walden, Inc. Richard Tort Respondents AWARD #88-02501 Case Summary Claimants alleged that Respondents placed the Claimants in unsuitable securities… Award NASD 04/30/1990
88-01308 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) MALCOLM T. WEBRE AND BETTY ANN WE8RE ) ) Claimants ) and ) ) CASE NO. 88-01308 SHEARSON LEHMAN HUTTON, INC., successor ) to E. F. HUTTON AND COMPANY, INC., ) ROBERT COCKBURN AND JIM FEARNOW ) Respondents… Award NASD 04/30/1990
88-01481 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Charles Begini, Zoya Begini, Claimants ) Janet Eshaya, William Eshaya, ) Joan Holliday, Salim Hariri, ) Dusan Progovac, Hasan Sanobara, ) Charles Simon, Sergio Sole, ) AWARD Aniyan Varma and Naima Greffon… Award NASD 04/30/1990
88-02967 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration B e t w e e n ) ) ) Award OTRA Clearing, Inc. Claimant ) (Summary Decision) ) NASD No. 88-02967 vs. ) ) Bliss Securities, Inc. Respondent ) ) Bliss Securities, Inc. Third Party Claimant ) vs. ) Paragon Capital Third… Award NASD 04/30/1990
89-00157 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Pamela Anne Houle Claimant ) ) vs. ) AWARD ) Thomson McKinnon Securities, Inc. Respondents ) CASE NO. 89-00157 and L. H. Westdahl ) SUMMARY OF ISSUES This case was filed on January 17, 1989. Claimant… Award NASD 04/30/1990
89-01035 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) FRANK E. KOEHN AND MARY E. KOEHN ) ) Claimants ) and ) ) CASE NO. 89-01035 GEORGE A. PATRICK, JR. ) ) Respondent ) CASE SUMMARY Frank E. and Mary E. Koehn ("Claimant") alleged that George A. Patrick, Jr… Award NASD 04/30/1990
89-00989 HATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Mrs. Henry R. Jacoby Claimant vs. Case #89-00989 AWARD Prudential-Bache Securities, Inc. and Kassover Respondents CASE SUMMARY Claimant Mrs. Henry R. Jacoby alleged that she purchased shares of the Prudential-… Award NASD 04/30/1990
88-01524 NOTICE: An award was rendered in this case, but is not available. Award NASD 04/30/1990
89-01297 Year NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. yo\umt^Z_^ Numb^Z_ In the Matter of the Arbitration Between f/illiam G. Finlayson Helen H. Finlayson Claimants : CASE #89-01297 vs. ^, AWARD Shearson Lehman Mutton, Inc. Thomas K. Metz Respondents 2, CASE SU^f^ARY In a claim filed with the… Award NASD 04/30/1990