IN ARBITRATION UNDER CHAPTER XVHI OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED In The Matter Of G-BAR LIMITED PARTNERSHIP, Claimant, V. LAKOTA TRADING, INC., Respondent. DECISION File No. 02M003 For Claimant(s): For Respondent(s): Representation Arthur W. Hahn, Christian T. Kemnitz, Katten Muchin Zavis, Chicago, IL Amold A. Pagniucci, Sachnoff & Weaver, Ltd., Chicago, IL Pleadings Statement of Claim

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED In The Matter Of Customer * Claimant, v. Charles R. Federman and Tucker Anthony Incorporated , Respondent. DECISION File No. 01NM003 For Claimant(s): For Respondent(s): Representation Pro Se Patrick J. Howley, Tucker Anthony Incorporated Pleadings Statement of Claim and Submission Agreement, filed on or about

IN ARBITRATION UNDER CHAPTER XVHI OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED In The Matter Of JTL Investments, LLC and New Millennium Global Investments, LLC, Claimants V. Marios K. Sinapoglou, Respondent. DECISION File No. 01M006 For Claimants: For Respondent: Representation Jeffrey Schulman, Wolin & Rosen, Ltd., Chicago, Illinois Robert E. Lewin, Chicago, Illinois Pleadings Statement of C

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED IN THE MATTER OF Customer ,* Claimant, V. Raymond James Financial , Services, Inc., Respondent. DECISION File No. OlNMOOl For Claimant: For Respondent: Representation Richard J. Braun, Braun & Crotwell PLLC, Nashville, Tennessee George L. Guerra, Raymond James Financial Services Inc., St. Petersburg, Florida Plea

IN ARBITRATION UNDER CHAPTER XVHI OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED In The Matter Of Kevin Boyle, David Snyder, and Scott Snyder, Claimants V. LETCO Partners, L.L.C, LETCO-DPM, L.P., LETCO-DPM, Inc., Lee Tenzer, John Robinson, and Scott Kilrea, Respondents. DECISION File No. 02M008 For Claimants: For Respondent: Representation Robert H. Griffith and Celiza P. Bragan9a, Ungaretti and Ha

IN ARBITRATION UNDER CHAPTER XVHI OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED In The Matter Of Randall L. Swanson, Claimant V. Ronald Bruder, RMB & Associates, L.P., and Bruder and Associates, Respondents. DECISION File No. 01M007 For Claimants: For Respondent: Representation Timothy J. Carey and David Porteous, Lovells, Chicago, Illinois Ted S. Helwig, Katten Muchin Zavis Rosenman, Chicago, Illinoi

IN ARBITRATION UNDER CHAPTER XVHI OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED In The Matter Of Alan Zahtz and Douglas R. Kaiser, Claimants V. John Streibich, Timothy C. Boyd, Timothy G. Keller, and Beartooth Capital, LLC, Respondents. DECISION File No. 01M005 For Claimants: For Respondent: Representation Stephen Novack and Mitchell Marinello, Novack and Macey, Chicago, Illinois Steven Malina and

IN ARBITRATION UNDER CHAPTER XVHI OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED In The Matter Of Okoboji Options, Inc., Claimants V. John J. Wiesner, Wiesner, Inc., and, St. Soter Trading, Inc., Respondents. DECISION File No. 01M004 For Claimants: For Respondent: Representation James Judge, Vanasco, Genelly, & Miller, Chicago, Illinois Bmce J. Van Heukelem, Hoogendoom & Talbot, Chicago, Illinois Plead

IN ARBITRATION UNDER CHAPTER XVHI OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED In The Matter Of AOT USA, Claimants V. Merrill Lynch Professional, Clearing Corp., Respondents. DECISION File No. OlMOOl For Claimants: For Respondent: Representation Robert Lewin and James Judge, Vanasco, Genelly, & Miller, Chicago, Illinois Peter Cooper, Lawrence, Kamin, Saunders, & Uhlenhop, Chicago, Illinois Pleadings

IN ARBITRATION UNDER CHAPTER XVHI OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED In The Matter Of LaSalle Capital Markets, L.P., Cap Mark, Inc., Kevin Flaherty, and Scott Barnes, Claimants/ Counter-Claim Respondents V. Michael F. Lohman, Respondent/ Counter-Claimant AWARD File NO.04M002 For Claimants: For Respondent: Representation William T. Dwyer, Jr., O'Rourke, Hogan, Fowler & Dwyer, Chicago, Il