IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED In The Matter Of Customer'*', Claimant, V. Charles Schwab & Co., Inc., Respondent. DECISION File No. 96NM03 For Claimant(s): For Respondent(s): Representation Jeffrey A. Eeldman, San Francisco, CA Michael Lawson and John P. Halfpenny, Steefel Levitt & Weiss, San Francisco, CA Pleadings Statement of Claim and Submissio

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED IN THE MATTER OF Kottke Associates, Inc., Claimant, V. Joseph Homberger, Respondent. DECISION File No. 96 M 05 Representation For Claimant(s): Lloyd Kadish, Lloyd Kadish & Associates, Ltd., Chicago, Illinois For Respondent(s): Arthur W. Hahn and Sean M. Berkowitz, Katten Muchin & Zavis, Chicago, Illinois Pleadings Statement o

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED In The Matter Of John and Arlene Bengel , Claimants, V. Charles Schwab & Co., Inc. , Respondent. DECISION File No. 98NM009 Representation For Claimant(s): Pro Se For Respondent(s): Steve M. Murphy, Charles Schwab & Co., Inc., San Francisco, CA Pleadings Statement of Claim, filed on or about: August 31, 1998 Answer, f

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED In The Matter Of Andre F. Christner , Claimant, V. Charles Schwab & Co., Inc. , Respondent. DECISION File No. 98 NM 007 Representation For Claimant(s): Pro Se For Respondent(s): Steve Murphy, Charles Schwab & Co., Inc., San Francisco, CA Pleadings Statement of Claim, filed on or about: May 21, 1998 Claimant's Submiss

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED In The Matter Of Customer*, Claimant, V. Norwest Brokerage Direct , Respondent. DECISION File No. 98NM005 For Claimant: For Respondent: Representation Pro Se Sherri Hallerman Gould, Norwest Corporation, Minneapolis, MN Pleadings Statement of Claim, filed on or about: April 9, 1998 Claimant's Submission Agreement

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED In The Matter Of Customer,'*' Claimant, V. Merrill Lynch Inc., Marc Patrick Cassalina and Michael S. Kelly, Respondents. DECISION File No. 98 NM 003 For Claimant(s): For Respondent(s): Representation Jerome Olitt, Arbitration & Mediation Specialists, Inc., Stamford, CT Charles L. Henderson, Merrill, Lynch, Pierce, Fenner & Sm

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED In The Matter Of Customer,'*' Claimant, V. Manuel Rivero and Smith Bamey, Inc., Respondents. DECISION File NO.98NM001 Representation For Claimant: Lee Mandell, Miami, Florida For Respondents: Marion S. Chan, Smith Bamey, Inc., New York, New York Pleadings Statement of Claim and Submission Agreement, filed on or about: 01/09/98

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED In The Matter Of ADC Options, Claimant, V. Robert C. Sheehan and Armquest, L.P., Respondents. DECISION File No. 98 M 003 Representation For Claimant: Pro Se For Respondent(s): Pro Se Pleadings Statement of Claim and Submission Agreement, filed on or about: Answer and Submission Agreement, filed on or about: Hearing Ju

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED IN THE MATTER OF Customer *, Claimant, V. Charles Schwab & Co., Inc. and Pamela Dick , Respondents. STIPULATED AWARD File No. 97 NM 002 For Claimant(s): For Respondent(s): Representation Pro se Rhonda Y. Jones, Charles Schwab & Co., Inc., San Francisco, California Pleadings Statement of Claim, filed on or abo

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED IN THE MATTER OF George M. Dupper, Claimant, V. Botta Trading, Inc. and Kevin Luthringshausen, Respondent(s). DECISION File No. 97 M 005 For Claimant(s): For Respondent(s): Representation Ame R. Rode, Chicago, Illinois Ted S. Helwig and Thomas J. Meier, Katten Muchin & Zavis, Chicago, Illinois Pleadings Statement of C