IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED In The Matter Of Customer, Claimant, V. DECISION File No. 99NM010 Frank E. (Pete) Pelton and Salomon Smith Bamey , Inc., Respondents. Representation For Claimant: Pro se For Respondents: John P. Bevilacqua, Salomon Smith Barney Inc. Pleadings Statement of Claim, filed on or about: June 1, 1999 Claimant's Submission

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED IN THE MATTER OF Mark A. Nosich , Claimant, and E*TRADE Securities, Inc. Respondent. DECISION File No. 99NM007 Representation For Claimant: Pro se For Respondent: Bob Salvador, Senior Compliance Analyst, E*TRADE, Inc. Pleadings Statement of Claim and Submission Agreement, filed on or about: April 19, 1999 Answer, filed

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED IN THE MATTER OF Customer,'*' Claimants, V. Legg Mason Wood Walker, Inc. and Edwin D. Handley, Jr., Respondents. DECISION File No. 99NM006 For Claimant(s): For Respondent(s): Representation Pro se Dana N. Pescosolido, Saul, Ewing, Weinberg & Green, Baltimore, MD Pleadings Statement of Claim and Submission Agreement, f

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED IN THE MATTER OF Customer,* Claimant, V. Kessler Asher Group a/k/a Arbitrade LLC , Respondent. For Claimant: Pro se For Respondent: Pro se DECISION File No. 99NM005 Representation Pleadings Statement of Claim and Submission Agreement, filed on or about: March 26, 1999 Answer and Submission Agreement, filed on or abo

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED In The Matter Of Michel R. Louvain, MD, Claimant, V. Charles Schwab & Co., Inc. , Respondent. DECISION File No. 98NM006 Representation For Claimant: Pro Se For Respondent: Gregory M. Scanlon, Charles Schwab & Co., Inc., San Francisco, CA Pleadings Statement of Claim and Submission Agreement, filed on or about: 07/23/98

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven Dubinsky, Michael Pata, Kenneth Vesely, and Laura Higgins (Claimants) v. Joseph Calvin Crouch, Robert Alton Shuey, III, Institutional Equity Corporation, and Institutional Equities Holding Corporation Case Number: 00-02219 Hearing Site: New York, NewYork REPRESENTATION OF PARTIES Claimants, Steven Dubinsky ("Dubinsky"), Michael Pata ("Pata"), Kenneth Vesely ("Vesely"), La

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED IN THE MATTER OF Sean Moran, Claimant, V. Robert C. Sheehan & Associates, Inc., Robert C. Sheehan and Joseph Sullivan, Respondents. DECISION File No. 98M011 For Claimant: For Respondent(s): Representation Morton H. Cohon, Chicago, Illinois Ronald P. Kane, Gomberg Kane & Fischer, Ltd., Chicago, Illinois Pleadings S

IN ARBITRATION UNDER CHAPTER XVHI OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED In The Matter Of Irwin Ross, Claimant, V. Jeffrey Wynsma, Respondent. For Claimant: Pro Se For Respondent: Pro Se DECISION File No. 98M009 Representation Pleadings Statement of Claim and Submission Agreement, filed on or about: December 4, 1998 Answer and Submission Agreement, filed on or about: January 13, 1999 Hearing

IN ARBITRATION UNDER CHAPTER XVHI OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED IN THE MATTER OF Customer *, Claimant(s), and Fidelity Brokerage Services, Inc. , Respondent. DECISION File No. 99NM009 Representation For Claimant(s): Pro se For Respondent(s): Richelle S. Kennedy, Fidelity Investments, Boston, Massachusetts Pleadings Statement of Claim (including tape recording exhibit) and Submissi

IN ARBITRATION BEFORE THE CHICAGO BOARD OPTIONS EXCHANGE HEARING LOCALE, CHICAGO, ILLINOIS Claimant, -vs- MESIROW FINANCIAL, INC., et.al. Respondents. CBOE Arbitration No. 99 NM 012 Robert B. Morton, Arbitrator Presiding AWARD I, THE UNDERSIGNED ARBITRATOR, having been designated In accordance with the Rules of the Chicago Board Options Exchange and Arbitration Agreement of the Parties, and having been duly sworn and having duly rea