N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Betty Bundul Name of Respondents John G. Kinnard and Company, Inc. Edwin Haw - - *- 91-03715 REPRESENTATION For Claimant at the hearing: Mark J. Brioi, Esq. of Bhol & Wilmes, Minneapolis. Minnesota. For Respondent John G. Kinnard and Company, Inc. at the hearing: Ted S. Meikle. Esq. of Fredrickson & Bryon, Minneapolis. Minn

Arbitration H.A..S.B. AWARD National Association of Securities Dealers, inc. MATICNAL ASSOCIATION OF SECURITIES DEALERS NASD Financial Center ..^______ 33 Whitehall Street " -i the Matter of the Arbitration Between New York. N.Y. 10004 FAX (212) 858-4389 Name of Claimant Sheila Shlfcowitz Rubin 91-03714 Mame of Respondents Vincent J. Grucci Matth#»* R. Leo Walter L. Munroe Educators Financial Itonagement, Inc. For Claiman

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carol J. McCabe 91-03372 Name of Respondents Dominick & Dominick Incorporated Michael Beck REPRESENTATION For Claimant Carol J. McCabe ("Claimant"): William E. Donnelly, Esq. of the law firm of Muldoon. Murphy & Faucette For Respondent Dominick & Dominick, Inc. ("Dominick"): Todd B. Sollis, Esq. of the law firm of Kavan

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ameritrade, Inc. Claimant v. George C. Linkenback, n and Kimberly S. Linkenback Respondent Case Number: 01-00822 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Ameritrade, Inc., hereinafter referred to as "Claimant": James J. Vihstadt, Regulatory Counsel, Claimant Ameritrade, Bellevue, Nebraska. On or about June 19, 2001, Patrick Griffin, Esq., Suza

NATTOfflL ASSUCLATILK OP SECURITIES EERLERS in the Matter of tta Arbitration Between Mane of daimemtf 91-03370 Mama of fa\ arith Barney Harris T**am & Co., For Claimant: Michael J. Ttmnhfm. Esq. of Thnlvrn. Cappiello, Stein & Gordon in Concord, New Hampshire. Par Respondent: David Levy, Esq. of Smith Barney, Harris U£bam & Co., Inc. in New York City. Statement of CTalm filed: Octcber 25, 1991. Claimant 'a Submission Agreenwat signed on

N.A.S.D. AWARD NKTICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Q£ ARCS, IDC. 91-03367 Name of Respondent (s) A.G. Edwards & Sons, Inc. Jercme Weiner For Claimant: Michael J. Riitenberg, Esq. For Respondent: Rose M. Schindler, Esq. case Statement of Claim filed: October 25, 1991. Claimant's Submission Agreement signed on: October 7, 1991. Respondent A. G. Edward's Submission Agreement signed on

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Joseph c. Lisanti Claimant vg. Timothy Wayne Newman Respondent CASE #91-03363 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 25, 1991, Claimant Joseph C. Lisanti, who appeared Pro Se, alleged that Respondent, Timothy Wayne Newman purchased 1,000 shares of Cel-Sci stock without

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Zvi Geitheim No. 91-03362 Name of Respondents Fidelity Investors CenterrSr and Brokerage Seryice, Inc. Barbara Gross Stephen Gorman REPRESENTATION OF PARTIES For Claimant: Michael L. Maduff, Esq. and Reed Millsaps, Eaq. For Respondents: Thomas Fitzgerald, Esq. of Altheimer & Gray, Chicago, Illinois CASE INFORMAT

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SBCQRTTIES DEALER In the Matter of the Arbitration Between Name of Wallace, Barbara, Brent & Robin Klein Name of Reapavigot(s) Shearson Lehman Button, Inc. Elizabeth Jarrard Case No. 91-03360 For Claimants, Wallace, Barbara, Brent and Robin Klein ("the Kleins") : James S. Atoer, Esq. of Icard, Merrill, Cullis, Tina, et. al. For Respondents, fihnriTy* 1 t^rf-mm Button, IDC* ("Sbearscn") : Dana A.

PUBLIC N.A.S.D. AWARD NKTTCKftL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Q£ Robert and Marjorie Klinfcer 91-03351 Name of Forst r Jr. Claimants' Robert anH Marjorie IQinher ("daifflants") appeared pro se. Respondent E&gard Forst, Jr. ("Respcodent") appeared pro se. Statement of m^rim filed on: October 23 , 1391. madman »•«* Submission Agreement signed on: November 6, 1991. daiaants* I