Arbitration Awards Online

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Award Document Case Summary Document Type Forum Date of Award
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
87-01202 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Alfonso H. Pena ) ) ' Case #87-01202 Claimant ) vs. ) Award Marshall Davis, Inc. Bruce E. Kitzis - ) Mark Dzarnoski Respondents ) John D. Manson - ) Sender Zucker ) The undersigned, being the Arbitrator… Award NASD 04/27/1990
88-02346 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Charles Schwab & Co., Inc. vs. Stacy Allyn Germic vs. Charles Dangerfield, Rob Difuria, Steve Roche, Michael Burton and Marsha Brown Between ) Claimant } ) Respondent , ) Counter- ) Claimant & ) 3rd Party )… Award NASD 04/27/1990
89-01119 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Keh-Nan Li Claimant Case #89-01119 AWARD Alan L. Tallman ResDondent CASE SU^WARY Claimant asserts Respondent made misrepresentations concerning the return on investment of certain stocks purchased; further he… Award NASD 04/27/1990
89-02618 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between X. Danny Fouladpour Claimant(s) vs. Blinder, Robinson & Co., Inc. vs. Jerrard Whittacre Respondent(3) NOTICE OP ARBITRATION AWARD 89-02618 CASE SUMMARY Claimant(s) K. Danny Fouladpour alleged that Respondent(s)… Award NASD 04/27/1990
89-00158 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Michael Perle, Jane Bottone, Michael Bottone, Marsia Bottone, Anna Bottone Trust and Michael Bottone, Jr. vs. John A. Radii Claimants Respondent CASE # 89-00158 89-00962 .89.-OS968 89-01012 AWARD CASE SUMMARY… Award NASD 04/26/1990
88-03349 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Anne Novotny Claimant vs. Herzog Heine Geduld, Inc. Wall Street Clearing Corporation Timothy Carroll Christopher Miller Respondents CASE #88-03349 AWARD CASE SUMMARY In a claim filed with the National… Award NASD 04/26/1990