AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between First Union Securities, f/k/a Everen Securities, Inc. and 99-00544 Omaha, Nebraska Terrel L. Beckwith REPRESENTATION OF PARTIES First Union Securities, f/k/a Everen Securities, Inc. ("Claimant") was represented by Ronald Kane, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Terrel L. Beckwith a/k/a Terrell L. Beckwith ("Respondent") was represented by Gail Bolive

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Alan A. Gray v. Howe, Solomon & Hall, Inc., Christopher J. Hall, and Ronald Solomon Case Number: 99-00540 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Alan A. Gray, hereinafter referred to as "Claimant": appeared pro se, Great Neck, NY. Respondents Howe, Solomon & Hall, Inc. ("HSH"), Christopher J. Hall ("Hall"), and Ronald Solomon ("Solomon") herein

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03315 Charles Schwab & Co., Inc., Claimant vs. Brendan Murphy f/b/o Juliana Murphy, Respondent. ATTORNEYS: For Claimant appeared Stephen S. Berkeley, Esq., Kane & Fischer, Ltd, Chicago, IL. Respondent did not respond to the Statement of Claim. DATE FILED: August 3, 2000 CASE SUMMARY: Claimant alleged that Respondent failed to repay a debit balance which resulted from the purchases

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION INC. CASE: 00-00352 Fidelity Brokerage Services, Inc., claimant vs. D. C. Capital Group Holdings, Inc., respondent. ATTORNEYS: ™ " ~~ For Claimant, Fidelity Brokerage Services, Inc. ("Claimant"), appeared Laurence K. Richmond of Laurence K. Richmond & Associates, P.C. Quincy, MA. Respondent, D.C. Capital Group Holdings, Inc., ("Respondent"), did not respond to the Statement of Claim. DATE FILED

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