NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dexter Coffield and Sandra Coffield, JTTEN Claimants vs. Charles Schwab & Co., Inc. Respondent AWARD Case #91-01459 CA5E SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 10, 1991, Claimant Dexter and Sandra Coffield who appeared -pro se, alleged that Respondent Charles Schwab & Co., Inc, neglected to cont

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sanford Kellman, Claimant v. Bear Steams & Co., Inc., CISC World Markets Corp. f/k/a CIBC Oppenheimer & Co., Inc., and Mark L. Moskowitz, Respondents Case Number: 01-01846 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Jonathan W. Evans, Esq. Jonathan W. Evans & Associates Los Angeles, California For Respondents: Philip A. McLeod, Esq. Ja

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gustavo G. and Rosalinda G. Gomez No. 91-01457 Name of Respondents -•^ -v- Metlife-State Street Service Center Craig Kolak MetLife Securities, Inc. Metropolitan Life Insurance Company REPRESENTATION OF PARTIES For Claimants: Richard Wynn appeared on behalf of the Claimants. Claimants also appeared. For Responden

N.A.S.D. AHMD NATICNAL ASSOdATCCtT OF Stt.lJkJ.TIE3 DBfffBfl la tte Matter of tha Arbitration Between Francis K. and Audrey B. Tyra, JIWROS 91*01448 nnnn Witter Reynolds, Inc. For daisBntst Tied S. HeiJcle, Esq. azxi F. Chet Taylor r Esq., of PredrUcsCTi & Byrcn, P.A., MlTmnnrnllnr Miimesoca. For RBflpcodeoti G. Marc Mhitebead, Esq. and Scott E. Btchtar, Esq. of Fqpban, Stataaent of ffl^» filed on May 9, 1991. dainBnt's Sufcodssion Agrea

Artottmtton * National AnocMton of i, Inc. HRTICNRL ASSOCXKnJCN OF SHUJHITJSS TTffifffffl NASD Financial Center _ _ _ 33 WhHehaH Street la the Matter of the Aitoitration Between New YofKN.Y. 10004 FAX (21 2) 858-4389 of f^Tj Charles J* Allen 91-01446 Thomas Frank Belvin For Claimant ffMwiap j. Allen ("dainant"): Benjamin A. Williams of Fatten, Woman et al* For ReepooiBnt Frank Belvin ("Rfiepcodent"): Cynthia A. Doria of BdNard D.

N.A.5.D. NATIONAL ASSOdATICW OF fcJHJURTi'lBS In the Matter of the Arbitration Betwaea Uane of Marjory Vaught Klein, an individual, and C/F Mocriaie Noel Vfcught, Jtorjorie Elizabeth Vaugnt, Jarred Sham Vaugfat r Timothy Justin Vaugnt - -v- 91-01445 Hams of Larry L. Slnnccs Park Avenue Securities Inc. Frank. G. MesQuire, III For dainantst William B* Fedeaanan of Day, Hewett & Fectemzm, Oklahona City, For Respondent Lairy

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #91-01444 AWARD In the Matter of Arbitration Between Donald K. and Janet W. Pirie, JTWROS Claimants vs. Global America, Inc. : Michael Markowski Michael Albro Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 9, 1991, Claimants, Donald K. & Janet W. Pirie who appeared Pro Se, alleged that on December 13, 1990 Res

ATTACHMENT A-1 Arbitration National Association of " N.A.S.D. JWAKD Securities OMtors, Inc. NASD Financial Gem* ASSQdftXXCN OP SBCDRirnS PF &Tgpg 33 Whrtenall Street Mew York. N.Y. 10004 - — - — -— - - - „ , __ - FAX (21 21 858-4389- In the Matter of the Arbxtration Between Name of daiggnt (sL Paul and OH a Koaof sky 91-01443 Gary Goldberg & Co., Inc. Gary Goldberg Lesley For Clainant: Brian A. Carlis, Esq. of Star* &

PUBLIC Arbitration N.A.S.D. AWARD National Association of Securities Dealers, Inc. —~«.~T»T ^rw^.,—~,. ~« , , «^™^^w,« NASD Financial Center NAHCNAL ASSOCIATION OF SBCDRTTIES DEALERS 33 Whitehall Street New York, N.Y. 10004 In the tetter of the Arbitration Between FAX (212) 858-4389 Nameofdaiiiiants Shearson r^j^i»n Hutton r Inc. 91-01440 Name of Respondent Herbert lake Poor Claimant Sbearson T^^nan fflittan, Inc. ("Claimant

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01438 AWARD In the Matter of the Arbitration Between Edward D. Milligan, TTEE Claimant vs. Bear Stearns & Co., Inc, Respondent CASE SUMMARY Pro Se Claimant, Edward D. Milligan, TTEE Edward D. Milligan Trust UDT, in a claim filed with the National Association of Securities Dealers, Inc. on May 8, 1991, alleged that Respondent Bear Stearns & Co., Inc. willfully concealed importa