Award NASD Dispute Resolution In the Matter of the Arbitration Between: O'Connor SWS Securities, Claimant v. U.S. Bancorp Piper Jaflray, Inc., Respondent Case Number: 01-05303 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: Steven A. Lamb, Esq. Rovens, Lamb & Gase LLP Los Angeles, California For Respondent/Counter-Claimant: Brian S. Hellberg U.S. Bancorp Piper Jafiray, Inc. Minneapolis, Minnes

.•'.\CIFJCE\CH.\.%GI- PACIFIC EXCHAN'GH,INt• 301 Pine Street Sun Francisco, Cahfomia *ii\(\^ Monreil Camn. Jr. CLAIMANT V Pmdcnnai .Securines. inc.. RESPONDbNT PnjJennai Securities. ii:>:. COl rNThRCLAlMANT \' MontcH Cumii. Jr. PCX CASE ^: 9H-S023 DECISION IN THE MATTER OF ARBITR-AnON BEIT\'hEN .MONTELL CI'RKIN, JR. AND PRLDrNHAL SECURITIES. INC. AND RELATED C01JNTERCI..AI.M lhe undersiimed Arbitrators, havjig

RACIKICEXCHA.NGE PACIFIC EXCHANGE. LNC. 301 Pine Street San Fnmcisco. California 9J104 .Man 01 sen C1..A1M,A.\T Ucur. .Slca:nii Ji: (.'o . Inc.. Richard LaVoice. und Preston Hammer Ri:SF(JMI3HNTS B< rar. Steams &. Co.. Inc. and Richard LaV'mce CROSS-CLAIM.VNTS V. PrcMon Hainra^ CROS-S-RESPONTJENT PCXC.\SEi»:W-S012 DF.CISION iN THF. MATTER OF .\RnnRATION BErAEEN ALAN OI.SKN .AND BEAR, STEARNS & CO.. INC., RICHARD 1.

2601 Airport Drive, Sv'\e 34 5 ^; ,.,,.^ Torrance, CA 90505 n*^'• *..Wir».0 Tel. (310) 257-9363 •,«,*««« Fax {3101 257-9360 -'-f'^ ^ 0 ZOOO Attorneys for Respondents OLDE DISCOUNT CORPORATION and THOMAS EDWARD COCO u i I . I • 4 5 6 7 9 :o !1 !2 13 14 15 16 >7 !8 BEFORE THE PACIFIC EXCHANGE STOCK & OPTIONS JOANNE LINDEMAK, individually and ) CASE NO. 99-S009 as Trust

I 1 ! 1 3 *!. 10 j u j 12 13 14 IS 16 17 18 19 20 21 22 23 24 25 26 27 28 MITCHELL J. ALHEF-T, ESC- I State Ear I.'c. 115114 ALBERT & Will, LLP 2S31 Airpcrt Drive, Sui-a 345 Torrance, CA 90505 Tel. OlO'i ss^-ojes Fax f310) 2S7-93ec JUL 1 7 M. Aticornevs tor Respondents ^CXARBITRATIOfci OLDE DISCO'JtIT CORPCRATICN and THGMAS EDWARIT COCC aE

PACinC EXCHANGE, INC. 301 Pine Street San Francisco, California 94104 hi The Matter Of lhe Arbitration Between. HerbeirT Woods CLAIMANT Dean Witter Reynolds RESPONDE^^^ PCXCase#:(NojOO-S010 DECISION Tbe uruknigned Arbitrator, havug read and considered the claim submitted b>- Claimam on July 24. 2000 and the Answer of Respondent, hereby renders die foUowing Decision pursuam to Rules 12 of die Rules ofthe Board of Governors ofthe Pacific E

^1-SrJ5 PACIFIC EXCHANGE. LMC 301 Pme Street Ssn Francisco, California < >4104 In the matter ofthe .-Vrbitraiion between STEVE EDNIAN. Claimant, vs CRAIG MILLER, DISCOVER BROKER.AGE DIRECT, et al., Respondems DECISION OF THE P.ANEL The undersigned Arbttrators. havmg read and considered the Claim submitted by CUimam Steve Edman C*Claimant" or *^dnun") on June 11, 1999, and the Answer of Respondents Discover Brokerage Direct. Inc. (

^ PACIFIC EXCHANGE, INC 301 Pine Street Ssn Francisco, California 94104 In the matter ofthe Arbitration between: JE.AN ALBURY, an individual and as Trustee ofthe Jean Albury Family Trust, Claimant, vs PRUDENTIAL SECURITIES. INC.. Respondem PCX Case No. 96-L054 DECISION OF THE P.ANEL lhe undersigned Arbitrators, havmg read and considered the Claim submined by Claimam Jean Albury ("Claimant" or **Albiiry") on July 26, I99ti, die Am

>fZ P.ACIFIC EXCR^NGE, INC 301 Pine Street San Frandsco, CalifBnuB 94104 'S^eiVSn t '.•* H In The Matter OfThe Arbitration Between: . .. „ 00 "-^^ ^' ^eiv Garrett D Goggm, ) PCX CASE #: 99>-S00g °CXj4RDi-n-,*^ CL.AIM.ANT ) ''^«BITRAT/C^ DECISION Group One Trading, L P , RESPONDENT The undersigned Aibitrator, having read and considered die Claim submitted b>- Claimant on March 1, 2000 and the .•\nswer of Respon

PACIFIC EXCHANGE, INC 301 Pine Street San Francisco, Califomia 94104 NOV 2 - 290(1 In the Matter ofthe Arbitration Between: KINf YOUNG, Claimant CHARLES SCHWAB & CO. INC., Respondent PCXCASENO.99-S027 DECISION The undersigned Aibitrators, havmg read and enuidered the Claim submitted by Claimant Kim Young Ot^lamiant") on June 8,1909 and the Answer of Respoodent Charles Schwab C'RespondODC*'); having considered all ofthe testim