IN ARBITRATION UNDER CHAPTER XVHI OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED IN THE MATTER OF Thomas Lang, Claimant, V. SMC Option Management, LLC, Respondent. File No. 05M003 For Claimants: For Respondent: Representation Robert Sweeney Kevin Besetzny, Charmaine Vivar and Dean Polales Pleadings SMC Option Management, LLC Statement of Claim and Submission Agreement, filed on or about: Re-filed S

IN ARBITRATION UNDER CHAPTER XVHI OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED IN THE MATTER OF Harrison Trading Group, Inc., Claimant, V. Gregory Gentile and JAG Derivatives, Respondents. File No. 06M003 For Claimant: For Respondents: Representation Martin B. Carroll (Fox, Hefter, Swibel, Levin & Carroll, LLP) Norman M. Valz (Norman M. Valz, Ltd.) Pleadings Harrison Trading Group, Inc. Statement of Clai

IN .AKUn RAMON UNDF.R CIIAPTKK XVHI OF T!IK HULKS ornn: ciiiCA(;() HOARD OI'I IONS I:.\CHAN(;I:, INCORPORATKI) IN I III', MA I"I I-:K OI' Howard CjinibL'l .iiid Marvin I^a\ is. Chiiniaiits. \. DIJS 1-inaitciai ScrAiLX-s. Inc. I-/k.':i/ IJliS I'aineWchhcr. Inc. And Charles Nick\ Bank, Ruspontlciiis. l-ilc No. 06NM001 |-or Claiinam.s: I'or Kcspondcnl-^: Kfpri'.seijljilioii Arlluir Hahn. Clirislian Kciniiil/. (Kallcn Miichii

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED IN THE MATTER OF Claimant, V. Lisa Ferry Deel, Katherine M. Owens, and A.G. Edwards, Respondents. File No. 07NM001 Representation For Claimant: For Respondents: Pro se Michael Naccarato, Esq. Pleadings Claimant's Statement of Claim and Submission Agreement, filed on or about: Statement of Answer of Lisa Ferry Deel, Ka

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED IN THE MATTER OF Dan Cooley, Huukhanh Le, John Shiflett Claimants/Counter-Claim Respondents, V. VDM Capital Markets, LLC, Respondent/C ounter-C laimant. File No. 08M001 For Claimants: For Respondent: Representation Stephen J. O'Neil, Molly McGinley (K&L Gates LLP) Marvin Pickholz, Suzan Jo (Duane Morris LLP) Pleadings

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED IN THE MATTER OF Equitec Group, LLC, Claimant/ Counter-Respondent, V. Maple Trading, Inc. and Boris Fumian, Respondents/ Counterclaimants. File No. 06M005 For Claimant: For Respondents: Representation Stephen P. Bedell, Thomas P. Krebs (Foley & Lardner LLP) Jacob Pomeranz (Cornfield and Eeldman), Leslie J. Rosen Plead

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED IN THE MATTER OF J. David Eikejs Claimant/Counter-Claim Respondent, V. John T. Lundy, Respondent, and JTL Investments, L.L.C. Respondent/Counter- Claimant. File No. 09M001 For Claimant: For Respondents: Representation Gerald Miller (Vanasco Genelly & Miller) Martin Carroll, Adam Hachikian (Fox, Hefter, Swibel, Levi

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED IN THE MATTER OF ME Global, Inc., Claimant, V. Michael Lohman, Respondent. File No. 09M002 AWARD Representation For Claimant: Pro se For Respondent: No appearance Pleadings ME Global, Inc.'s Statement of Claim and Uniform Submission Agreement, filed on or about: October 28, 2009 • Respondent did not file a Statement of An

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED IN THE MATTER OF Arjent Capital Markets, LLC Claimant, V. Marcus Dugaw Respondent. File No. 08M002 For Claimant: For Respondent: Representation William E. Montgomery, III Gregg M. Rzepczynski, Edward T. Anderson (Gregg M. Rzepczynski & Associates); Paul J. Dugaw (Enbody, Dugaw & Enbody) Pleadings Arjent Capital Markets, L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mansour Malekpour, (Claimant) vs. Morgan Stanley Dean Witter Inc. and Gary Moskowitz, (Respondents) Case Number: 01-06327 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Mansour Malekpour, hereinafter referred to as "Claimant": Michael J. Calvey, Esq., Sokolow, Dunaud, Mercadier & Carreras LLP, New York, NY. Respondents, Morgan Stanley Dean Witter Inc. ("MSD