N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION QF SECURITIES DEALERS REGULATION, INC. CASE: #99-00534 Access Financial Group, Inc., claimant vs. Michael Classic, respondent. ATTORNEYS: For Claimant, Access Financial Group, Inc., appeared in-house counsel, Andrew S. May, Esq., Chicago, IL. Respondent, Michael Classic, appeared Pro Se, Boynton Beach, FL. DATE FILED: February 5, 1999 CASE SUMMARY: Claimant alleged that respondent failed to repay a prom

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Kurt W. Zobel Case No. 99-00530 Names of Respondents Shahriar Sabi Tasin & Co., Inc. REPRESENTATION OF PARTIES Claimant Kurt W. Zobel, hereinafter referred to as "Claimant", appeared pro se. For Respondents Shahriar Sabi ("Sabi") and Tasin & Co., Inc. ("Tasin & Co."), hereinafter collectively referred to as "Respondents": Ernest Edward Badway, Esq. of t

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jeffrey N. Moss, Claimant v. Barren Chase Securities, Inc. and Stephen Hart, Respondents. Case Number: 99-00522 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Arthur S. Leider Investor's Arbitration Specialists San Diego, California For Respondents: Brett A. Verona, Esq. Law Office of Brett A. Verona Tampa, Florida CASE INFORMATION St

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Paine Webber, Inc. and 99-00521 Denver, Colorado Name of Respondent Donald J. LoCoco REPRESENTATION OF PARTIES Paine Webber, Inc. ("Claimant") was represented by Romaine L, Gardner, Esq., Staten Island, New York. Donald J. LoCoco ("Respondent") was represented by Martin M. Berliner, Esq., Berliner Zisser Walter & Gallegos, Denver, Colorado. CASE

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant William Thibodeaux Case No. 99-00516 Names of Respondents WJ. Nolan & Co., Inc. Craig Steven Redding Gary Joseph Redding Name of Third-Party Respondent G & C Redding, Inc. REPRESENTATION OF PARTIES For Claimant William Thibodeaux ("Thibodeaux") hereinafter referred to as "Claimant": Robert B. Butler, III, Esq., Houma, Louisiana. For Responde

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Manuel Ochoa, Pacific Palisades, L.P., and Global Flows, Ltd., f/k/a Palisades Offshore, Ltd., Claimants v. Strome Susskind Securities, L.P., Mark E. Strome, Jeffrey S. Lambert, and Patrick Siaretta, Respondents. Case Number: 99-00515 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: For Respondent Strome Susskind Securities, L.P.: For Resp

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith Inc., Claimant vs. Richard T. McDougall, Respondent. Case Number: 99-00497 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Merrill Lynch, Pierce, Fenner & Smith Inc. ("Merrill Lynch' 7 ), hereinafter referred to as "Claimant": Mark P. Harbison, Esq., Rubin & Associates, P.C., Paoli, Pennsylvania Respondent, Rich

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: John Coleman, (Claimant) vs. Patrick Steven Mirabelli, (Respondent). Case Number: 99-00494 Hearing Site: San Francisco, California. REPRESENTATTON OF PARTIES John Coleman hereinafter referred to as "Claimant": Represented himself. Steven Patrick Mirabelli hereinafter referred to as "Respondent": Represented himself. CASE INFORMATION Statement of Claim filed on or about: February 2

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Robert Grothaus; Cynthia Grothaus; R.J. Grothaus & Family Inc.; and Robert Grothaus and Cynthia Grothaus JTWRS Claimants vs. Trautman, Kramer & Company, Inc., Mark Joseph Gillis, Robert Joseph Kramer, Gregory Owen Trautman, Robert Ware Middleton, and Mark Barbera Case Number: 99-00490 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimants Robert Grothaus, Cynthia Grot

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Quick & Reiily, (Claimant) vs. Michael Sanders, (Respondent) Case Number: 00-03313 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Quick & Reiily, hereinafter referred to as "Claimant": Joel E. Davidson, Esq., Law Office of Joel E. Davidson, New York, NY. Respondent Michael Sanders, hereinafter referred to as "Respondent", did not enter an appearance in