Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimants Case Number- 01-00824 Eugene B. and Marlene A. Faust Name nf the Respondents Hearing Site: Pittsburgh, PA Gruntal & Co., L.L.C., Thomas Fox, and Ryan Beck & Company, LLC Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTTF.S Claimants, Eugene B. and Marlene A. Faust, hereinafter collectively referred to as "Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edge N. Redrick 91-03725 Name of Respondent(s) Merrill Lynch Pierce Fenner & Smith Inc Theodore D. Williamson. Jr. REPRESENTATION For Claimant: Charles W. German, Esq. of Cohen Swados Wright Hanifin Bradford & Brett. For Respondent, Merrill Lynch: Arthur H. Sobel, Esq. of Merrill Lynch For Respondent, Theodore D. Williamson

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ George R. & Delores M. Gulp NO. 91-03721 Name of Respondents - - ^V Quinn/Southwest r a division of Southwest Securities, Inc., and Robert R. Harrison REPRESENTATION OP PARTIES For Claimants: James R. Compton, Esq., Albuquerque, New Mexico. For Respondents: Jerome S. Wade, Esq., Vice President & General

Arbitration National Association of Securities Dealers, Inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS NASD Financial Center 33 Whitehall Street In the Matter of the Arbitration Between Ne * Y o rk - N.Y. 10004 FAX (212) 858-4389 Name of Claimant Earl S. Hill 91-03719 Name of Respondents Kidder, Peabody & Co., Incorporated Stephen J. Schappell For Claimant Earl S. Hill ("Claimant") : Jay S. Cohen, Esq.

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