IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INC. IN THE MATTER OF Fossett Corporation Initiating Party and Dennis R, Moore, as nominee for G.A. "Curly" Smith, Inc. Federal Capital Corporation, Dean Cluff, Gerald A. Smith Responding Party File No. 89-M-21 o AWARD The captioned matter was submitted on November 17, 1989, All of the named parties appeared at a hearing on September 5, 1

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INC. IN THE MATTER OF Adam R. Zak Initiating Party - and A.G. Edwards & Sons, Inc. Responding Party Arbitration File No. 90-NM-7 o AWARD The captioned matter was submitted on February 12, 1990. The named parties appeared at a hearing on October 3, 1990 in Chicago, Illinois, and had full opportunity to present arguments and evidence. The above capt

Award NASD In the Matter of the Arbitration Between: Scott Neil Abrahamson, Claimant v. First Union Securities, Inc., Respondent Case Number: 01-06333 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Scott Neil Abrahamson, hereinafter referred to as "Claimant": Ludwig J. Abruzzo, Esq., Ludwig J. Abruzzo, P.A., Naples, FL. For First Union Securities, Inc., hereinafter referred to as "Respondent": Thomas B. Lewis, Esq., Stark & Stark, P

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INC. IN THE MATTER OF Fossett Corporation Initiating Party and Joseph P, Treaber Responding Party Arbitration File No. 90-M-14 AWARD The captioned matter was submitted on May 7, 1990. The named parties received notice of the hearing on October 4, 1990 in Chicago, Illinois, but Mr, Treaber was not present. The above captioned controversy involved the

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INC. IN THE MATTER OF Lawrence Gerber Initiating Party and Daniel Billings/William Billings Responding Party File No, 90-M-13 o AWARD The captioned matter was submitted on May 7, 1990. The named parties appeared at a hearing on October 22, 1990 and October 29, 1990 in Chicago, Illinois, and had full opportunity to present arguments and evidence.

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INC. IN THE MATTER OF Petco Options Co., Claimant, CounterRespondent V. Reuben T, Reinsteln, Respondent, CounterClaimant, Third Party Claimant V. o Joel R. Bronstein and Stephen Laner, Third Party Respondents, and Joel R. Bronstein, CounterClaimant and Reuben T. Reinsteln CounterRespondent. File No. 89-M-29 AWA

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INC. IN THE MATTER OF First Options of Chicago, Inc. Initiating Party and Thomas Hargett Responding Party File No, 89-M-25 AWARD The captioned matter was submitted on October 27, 1989, The named parties appeared at a hearing on October 22, 1990 in Chicago, Illinois, and had full opportunity to present argtiments and evidence. The above captioned

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INC. IN THE MATTER OF Geldermann Sectorities, Inc. Initiating Party and Robert J. Lehmann Responding Party File No. 90-M-l AWARD The captioned matter was suhmitted on January 3, 1990. The named parties appeared at a hearing on October 16 and 24, 1990 in Chicago, Illinois, and had full opportunity to present argtaments and evidence. The above capt

Cow^n i Co. Initiistiip^ rarty and Ce>L»frt*->y '. v'tt Flltt No.. 9C~m-l1 o ha< 3 full O^nxTt.aMcy to ^^.'^CAr' and pcesiir-.t at-^ur^r.te airid ''ddeni;;* at heu-ir.g OJ* .>r;.?>5r 3, 1990 in l^w Vork City, ikfr^- )t< :tk, Hc.-v ""'wer. « Co. w^s the uu'jy pMXy prf«snt. T^io aCbov^ cepticnfrd comrovA v-^ t)^©' follovii-.j Ifisues; Clairaai'iL allaycs that 'f^sponiT^nt ^as a ;'.t>blc i>iiar.':« hi., a'^;m-:;t lii t;-.t> ajiiouJit o£ Tt^ee fKu

IN T^ITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INC. IN THE MATTER OF First Options of Chicago, Inc. Initiating Party and R. Hiatt Elkins, Jr. Responding Party File No. 90-M-24 AWARD o The captioned matter was suhmitted on July 13, 1990, The named parties appeared at a hearing on January 8, 1991 in Chicago, Illinois, and had full opportunity to present arguments and evidence. The above captione