IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED IN THE MATTER OF Richardo Forrer, Joseph Hayes and Jacques Femandes Claimants/Counter-Claim Respondents, V. Louis Panos and Panos Trading LLC Respondents/Counter-Claimants. File No. 09M003 For Claimant: For Respondent: Representation Charles J. Risch, John D. Ruark (Lawrence, Kamin, Saunders & Uhlenhop LLC) Edward T. Anderson

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED IN THE MATTER OF Wolverine Execution Services, LLC, Claimant, V. Michael F. Lohman, Respondent. File No. lOMOOl AWARD Representation For Claimant: Pro se For Respondent: None Pleadings Wolverine Execution Services, LLC's Statement of Claim and Uniform Submission Agreement, filed on or about: April 19, 2010 • Respondent di

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED IN THE MATTER OF Ian Sassoon Claimant V. VTrader Pro, LLC Respondent. File No. 12M002 Representation For Claimant: Barry Bordetsky, (The Law Offices of Barry M. Bordetsky) Respondent: Richard Asche, (Litman, Asche & Gioiella, LLP) Pleadings Ian Sassoon's Statement of Claim and Uniform Submission Agreement, filed on or about:

Stipulated Award NASD Dispute Resolution In the Matter 01 the Arbitration Between: Name of the Claimant Case Number: 01-06316 Nancy Adelman Taraboulos Names of the Respondents Hearing Site: Boca Raton, Florida K.W. Brown Investments Kenneth Brown Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Nancy Adelman Taraboulos ("NAT"), hereinafter referred to as "Claimant": Darren C. Blum, Esq., Blum, S

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Robert E. Teague V. 01-06312 Minneapolis, Minnesota Respondents Scottrade, Inc., f/k/a Scottsdale Securities James D. Sheehan, Jr. Jason J. Phillips REPRESENTATION OF PARTIES Robert E. Teague ("Claimant") was represented by Alois Lemke, Esq., of the Law Offices of Alois Lemke, Santa Cruz, California. Scottrade, Inc., f/k/a Scottsdale Securities ("Scot

AWARD NASD Regulation, Inc. ' In the matter of the Arbitration Between Name of Claimant(s) John R. Yuditsky IRA, Yuditsky Family Trust A, and Yuditsky Family Trust C Arbitration No. 97-04396 Name of Respondent(s) Bryan Ross and D.A. Davidson & Co. REPRESENTATION For Claimants: Timothy J. Giesa, Esq., Reed & Giesa, P.S., Spokane, Washington For Respondents: Laurel H. Siddoway, Esq., Randall & Danskin, P.S., Spokane, Washin

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-00154 M.L. Stem & Co., LLC, claimant vs. Ricardo O'Connor, respondent. ATTORNEYS: For Claimant appeared James D. Portman, Esq., General Counsel, Beverly Hills, CA. Respondent did not respond to the Statement of Claim. DATE FILED: November 30, 2000 CASE SUMMARY: Claimant alleged that respondent breached his employment agreement by failing to repay monies owed which were provided to hi

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between ' Name of Claimant Charles Buenger and 97-04392 Name of Respondent Gilford Securities. Inc. Joseph Kavanagh REPRESENTATION OF PARTIES Charles Buenger ("Claimant") was represented by Randall H. Steinmeyer, Esq., Reinhardt & Anderson. St. Paul, Minnesota. Gilford Securities, Inc. ("Respondent GiJford") was represented by Joel Levinson, Esq., Gilford Securities, Inc., New

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Carol S. Modugno Case No. 97-04391 Name of Respondents Advest, Inc. Edward Barry Hearing Location: New York, NY REPRESENTATION OF PARTIES Claimant Carol S. Modugno ("Claimant") was represented by Irene P. Romanelli, Esq. of The Romanelli Law Offices, Hartford, CT. Respondents Advest, Inc. ("Advest") and Edward J. Barry ("Barry") were represented by

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Marian Impastato, and Joseph N. Impastato, II. Claimants. v. No. 97-04387 First of Michigan Corporation, and John Clark. Respondents. REPRESENTATION OF PARTIES Claimants Marian Impastato and Joseph N. Impastato. II ("Claimants") were represented by J. Alexander Dillon, Esq. of Royal Oak. Michigan. Respondents First of Michigan Corporatio