Arbitration Awards Online

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Award Document Case Summary Document Type Forum Date of Award
90-00081 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David Pollock Claimant(s) ARBITRATION vs. AWARD 90-00081 Prudential-Bache Securities, Inc. and Mark Tasher Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) David Pollock alleged that Respondent(s) Prudential- Bache… Award NASD 04/09/1990
89-01393 NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Dorothy A. Petrushka Claimant Case #89-01393 vs. AWARD Individual Securities Ltd., Robert Catoggio and Donrinick Investor Services Corp. Respondents CASE SUWARY Claimant Dorothy A. Petrushka alleged that… Award NASD 04/09/1990
89-01257 NATIONAL ASSOCIATION OF SECURITIES DEALERS^INC. IN THE MATTER OF THE ARBITRATION BETWEEN Vasilios Myrianthopoulos Claimant vs. Case #89-01257 AWARD Merrill Lynch, Pierce, Fenner & Smith (Hellas) L.L.C., Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondents CASE SUMMARY Claimant Vasilios… Award NASD 04/09/1990
89-01110 NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Robert J. Smyth Claimant vs. Sherwood Capital, Inc., J.T. Moran & Co., Inc. and Scott Toohey Respondents Case #89-01110 AWARD CASE SWfMRY Claimant Robert J. Smyth ("Smyth") alleged that the Respondent… Award NASD 04/09/1990
89-00870 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Dean Witter Reynolds, Inc. Claimant ) vs. _- ) AWARD Ronald Baldwin Respondent ) CASE NO. 89-00870 Heard Before the Members of the Arbitration Panel: Kent Mastores Marion Sperry Robertson Rudy Thorwirth… Award NASD 04/09/1990
88-02155 ^'flTIQNflL ASSOCIATION QF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Muriel D. Taylor CIaiment vs. Advest, Inc. and Charles R. Teabo Respondents Case #88-02155 AWARD CASE SUWARY Claimant Muriel D. Taylor speculative securities and opt her. The Claimant also all safety of… Award NASD 04/09/1990
90-00735 N.A.S.D. AWARD Arbitration ® National Association of NATIONAL ASSOCIATION OF SECURITIES DEALERS O^E^f B^ar Suite 1000 Ft. Lauderdale, Rorida 33301 in the Matter of the Arbitration Between t 305 ) 522-7391 Name Qf_ClaiiB&nt.fs^ Claire Keneally CASE #90-00735 Name of R&SCCTKtenti f S1 Sally… Award NASD 04/09/1990
89-03383 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Andrew M. and Nancy J. Germain vs. Fidelity Brokerage Services, Inc. Claimant(s) Respondent(a) NOTICE OF ARBITRATION AWARD 89-03383 CASE SUMMARY Claimant(s) Andrew M. and Nancy J. Germain alleged that Respondent(s)… Award NASD 04/06/1990
89-03472 NATIONAL ASSOCIATION OF SECURITIES DEALERS •*- In the Matter of the Arbitration Between Phyllis Shubak Claimant(s) vs. 89-03472 Richard Morris & Carlos Guavara Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Phyllis Shubak alleged that she was charged an early withdrawal fee… Award NASD 04/06/1990
90-00139 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John L. Barron Claimant(s) vs. 90-00139 Blinder, Robinson fi Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) John L. Barron alleged that Respondents) Blinder, Robinson & Co., Inc.… Award NASD 04/06/1990
90-00018 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between | PaineWebber, Inc. Claimant(s) vs. John T. and Joann Barrett Respondent(s} CASE SUMMARY Claiiitant(s) PaineWebber, Inc. alleged that Respondent(s) John T. and Joann Barrett requested the sale of certain securities… Award NASD 04/06/1990
89-03148 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Larry E. Harris Enterprises, Inc. et al Claimant(s) vs. 89-03148 Shearson Lehman Button, Inc. Prudential-Bache Securities, Inc., et al Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Larry E.… Award NASD 04/06/1990
87-01630 7 . c L2 VniiimR Number. NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. John Marshall Respondent AWARD CASE NO. 87-01630 SUWARY OF ISSUES This case was filed on August 28, 1987. Claimant PaineWebber, Inc. alleged that… Award NASD 04/05/1990
89-02436 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anthony P. Rua Claimant(s) vs. Madison Chapin Associates, Inc. and Peter Panariello Respondent(s) NOTICE OF ARBITRATION AWARD 89-02436 CASE SUMMARY Claimant(s) Anthony P. Rua alleged that Respondent(s) Madison… Award NASD 04/05/1990
89-03024 NATIONAL ASSOCIATION OF SECURITIES DEALERS •f- In the Matter of the Arbitration Between Plaza Hall Claimant(s) vs. 89-03024 P.F.G. Securities Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Plaza Hall alleged that Respondent (s) P.F.G. Securities executed an unauthorized… Award NASD 04/05/1990