IN ARBITRATICW UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INC. IN IHE MAITTER OF Fbssett Corporation Initiating Party and Capital Holding, Federal Capital Corporation d/b/a Capital Holding Corporation, Dean Cluff, a principal of Capital Holding or Federal Capital, Michael Francis, a guarantor, Mary Lou Cluff, a guarantor, and Michael D, Ehiith, a guarantor Responding Party File No, 89-M-22 AWARD

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTICaJS EXCHANGE, INC. IN IHE MAITER OF Fossett Corporation Initiating Party and Randall Tschannen, as ncminee for Planned Asset Management Association Inc. ("PAMA"), Federal Capital Corporation, Dean Cluff, a principal of PAMA or Federal Capital Corp,, Serge Nelson, a guarantor, Richard Mack, a guarantor, and First Florida Options (jcmpany as seat lessor Res

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTICS EXCHANGE, INC. IN IHE MAITER OF Fossett Corporation Initiating Party and Randall Tschannen, as ncminee for Planned Asset Management Association Inc. ("PAMA"), Federal Capital Corporation, Dean Cluff, a principal of PAMA or Federal Capital Corp,, Serge Nelson, a guarantor, Richard Mack, a guarantor, and First Florida Options CcRpany as seat lessor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kentmar L.P., Claimant v. First Union Securities, Inc. and Robert G. Devore, Respondents Case Number: 01-06331 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: James R. Walsh, Esq. Carroll, Burdick & McDonough LLP San Francisco, California Graham L. Sterling, IE Roseville, Cal

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INC. IN THE MATTER OF J. Stephen Fossett Initiating Party and Randall Tschannen, d/b/a. First Florida Options Company Responding Party File No. 90-M-18 CORRECTED AWARD o The captioned matter was submitted on December 6, 1989 (89-M-36) and May 7, 1990 (90-M-18). The named parties appeared at a hearing on September 11, 1990 in Chicago, Illinois

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INC, o o IN THE MATTER OF Timber Hill, Inc. Initiating Party and Patrick Dunham Responding Party File No. 90-M-28 AWARD The captioned matter was suhmitted on August 28, 1990. The named parties appeared at a hearing on Febmary 7, 1991 in Chicago, Illinois, and had full opportunity to present arguments and evidence. The above captioned cont

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INC. IN THE MAO^TER OF H.B, Trading Corp. Initiating Party and Phillip Sylvester Responding Pairty File No. 90-M-34 AWARD o o The captioned matter was sutmitted on Novertiber 15, 1990. The named parties appeared at a hearing on February 25, 1991 in Chicago, Illinois, and had full opportunity to present arguments and evidence. The above captio

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF Tm CHICAGO BOARD OPTICAS EXCHANGE, DJC. IN THE MATTER OF Michael Saperstcaie Initu^tung Party and Grun1:al & Co, Responding Party Arbitraticffi File No. 90-NM-18 AWARD o Pursuant to CBOE Rule 18.4 goveming small claims procedures, the captioned matter was sutmitted on June 11, 1990. The matter was decided solely on the sutmitted documents and the named parties had full opport

IN ARBITRATION UNDER CHAPTER XVIII OF IHE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INC. IN THE MAITER OF Scott Swinney Initiating Party and Prudential-Bache SecuritJ.es Responding Party Arbitratu-on File No. 90-NM-31 AWARD Pursuant tx> CBOE Rule 18.4 goveming small claims procedures, the O captioned matter was sutmitted on December 18, 1990. The matter was decided solely on the sutmitted documents and the named parties had

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INC. IN THE MATTER OF Smith Barney Initiating Party and SLS Securities Responding Party File No. 91-M-l AWARD o The captioned matter was suhnitted on January 2, 1991. The named parties appeared at a hearing on April 22, 1991 in Chicago, Illinois, and had full opportunity to present arguments and evidence. The above captioned controversy invol