AWARD NASD Dispute Resolution In the Matter of the Arbitration Between •Name of Claimant • • i - • . • Securities Service Network, Inc. and ' 01-01842 Nashville, Tennessee, Name of Respondents MetLife Securities, Inc. Metropolitan Life Insurance Company Nature of the Dispute: Member vs. Member. REPRESENTATION OF PARTIES -, Securities Service'Network, Inc. ("Claimant" or "SSN") was represented by David T. Bellaire, Esq. arid Ron ;

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01429 AWARD In the Matter of the Arbitration Between Henry B. Tice Claimant vs. R.G. Dickinson & Co. and Brad Titus Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 7, 1991, Claimant, Henry B. Tice who appeared Pro Se, alleged that Respondents R.G. Dickinson & Co. and Brad Titus failed to deliver to him in a timely

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betvreen of rajmanti s Dave Wailen vs. 91-01428 Mane of R nr Fidelity Brokerage Services , Inc. For Claimant: Claimant represented himself. For Respondent: Jeffrey R. larsen, Esq*, Fidelity Brokerage Services, Inc., Boston, Massachusetts. Statement of Claim filed: May 6, 1991 Amended Claim filed: June 10, 1991 Claiitant's Submission Agreeme

H.A.S.D. AWAKD MATICNRL ASSOCIATION OF ^HLTJRI.'*'* ***•! DEAI£SS In the Matter of the Arbitration Between Charles W. Garden 91-01427 of Barney Harris Upham & Co. , Inc. John S. DeRosa Claimant Claries W. Garden ("Claimant") was rrpLTfifntrri ty David M. Esq. of the law £im of Sonmers, Scbwartz, Silver & ScbMarcz, P.C. Rjespondenc ^IH*-H Bazney Harris U^ham & Co., Inc. ("3nith Barney") represenced by inbouse counsel Ectazd Turan, Esq. Re

NATIONAL ASSOCIATION OF SECURIITES DEALERS r INC. In the Matter of the Arbitration Between ; • r Ralph A. Manton ; » / Claimant ; CASE #91-01424 VS . ; AWARD * / Burnett, Grey & Company, Inc. & ; Robin M. Rushing ; Respondents CASE SUMMARY Ralph A. Manton, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on May 7, 1991, alleged that Respondent Robin M* Rushing while his br

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimants Joseph R. Scalzo Dorothy B. Scalzo NASD Arbitration No. 91-01423 Name of Respondents Shearson Lehman Brothers Barry Alper REPRESENTATION For Claimants: Alejandro P. Gutierrez, Esq., Hathaway, Perrett, Webster, Powers & Chrisman, Ventura, California For Respondent Shearson Lelnuiui. Kathryn Krebs, Esq., Keesal

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01421 AWARD In the Matter of the Arbitration Between Donald Cusimano Claimant vs. Quick & Reilly, Inc. Bruce Moar Judy Roofner Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 7, 1991, Claimant, Donald Cusimano who appeared Pro Se, alleged that Respondent Judy Roofner failed to properly follow his buy order inst

N.A.S.D. APOKD NKTICNftL ASSOCTKEKN OP SECURITIES DEATJ3?fl, la the Hatter of the Arbitration Between Of Kate L. Metchik 91-01420 Q£ Prtiif • itAanHa New York Life Securities, Inc. and Joel Shapiro dainant, Kate L. Ifetchik VMS j.epu:eaented by Mark D. Chester, Eaq. of & Kennedy, Phoenix, Arizona* Respondent, Mew York Life, Inc. was represented by Alan R. Ttaennan, Esq* of New York Life, New York, New York. Respondent, Joel Shapiro "

N.A.S.D. AWARD NATICNMi ASSOCIATION 1 OF SBCDRITTES DEALERS In the Matter of the Arbitration Between 91-01419 Name of F.N. Wolf & Co., Inc. Russell Hill For Claimant: Brian Smiley, Esq. of Page & Bacek in Atlanta, Georgia. For Respondents: J. Kennard Neal, Esq. and David P. Cohen, Esq. of Alston & Bird in Atlanta, Georgia. (ass Statement of CTla-hn filed: May €, 1991. Claimant's Submission Agreement signed on: May 3, 1991. Re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Alston M. Smithers & Helen Smithers Claimants vs. PaineWebber, Inc. Arthur J. Herrera Respondents CASE #91-01407 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 6, 1991, Claimants Alston & Helen Smithers through their counsel Thomas W. Donohue p Esq., Titus, Brueckner & Berry, Scot