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

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