NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-05300 H&R Block Financial Advisors, Inc., claimant vs. Ronny Gershon, respondent. ATTORNEYS: For Claimant appeared Kurt M. Miller, Esq., in-house counsel, Detroit, MI. Respondent did not respond to Statement of Claim. DATE FILED: October 9, 2001. CASE SUMMARY: Claimant alleged respondent submitted a check to pay for trades which was returned for insufficient funds. Claimant maintai

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-01415 Rudra Tamm, claimant vs. Tom Horn, James Witzenburg, and Meyers, Pollock, Robbins, Inc., respondents. Claimant appeared Pro Se, Greenwich, CT. Respondent, Tom Horn, appeared Pro Se, New York, NY. Respondent, Meyers, Pollock, Robbins, Inc., did not respond to the Statement of Claim, DATE FILED: April 3, CASE SUMMARY: Claimant alleged that respondents bought and sold shares of

PACIFIC £.\C H\.^Gc. !NC" ;0- P:neSir«: S-- Tranche::. '"j..:i:rnia •-."• •1 'fit' ^!jl:^•! •'.•\ The V'.;'.raf.t^n He:*.^< fs.T -^i*- .-'L' -= -.1 J Pt"\ K. \SK M") .•»n-Nt»0«* •IIR:.J:I •''•*.:. :;\'-"-^.. 'ih- • ?.""^, -.f^;j.".iiic: *"•: :>;t.'- TJitf anoersiunes Arniirators. ^i•.:^:^: carcmil^ read ird considerea :nc Cizirr jji:mjttt"J h\ (.'.asi-.dn'. ;n March. 12. IO-OJ and *.he Answer of Responaer.i ^dted Miiy ^. I'JOO

PACmC EXCHANGE, INC. 301 Pine Street San Francisco, CalifomiB 94104 In The Matter OfThe Arbitration Between: Claimant V. CHARLES SCmVAB & CO., Respondent LNC, PCX CASE No. D0-S018 DECISION PCXrtRBITRATiC; The undersigned Arbitrator, haxing read and considered the claim submitted by^^|^^^Bf*CIaimant* or "^llp^ on June 16,2000, dbe Answer of Charles Schwab & Co. CRespond^^oP^cflvrab"), and tbe response of^i^^ hereby renders the fis

PACIFIC EXCHANGE, INC 301 Pine Street San Francisco, California 94104 tn The Matter OfThe Arbitration Between: 32.A ^a -^t J • •* ' DEC Q 7 2S^: PCXARBITRATiO: THOMAS GINGRICH ET AL, Claimants v. EVEREN SECLTUTIES ET AL.. Respondents PCX CASE #:00-S005 DECISION The undersigned Artntrators, having read and considered tbe chum submitted by Thomas Gingrich, individually and as trustee ofthe Gingrich 1989 Living Trust

PACIFIC EXCHANGE, INC. 301 Pine Street San Francisco, Califomia 94104 ZIC I 1203C PCXARB1TRATI0^ In The Matter OfThe Arbitration Between: »., and Claimants V. FIRST UNION SECLTUTIES, INC. and FREDDIE LEE, Respondents PCX CASE #:00-L022 DECISION The undersigned Arbitrators, having read and considered the claim submitted b] MMMMpkii, andMMMVttfti C'Claimants") on June 26,2000, and the answer of First Union Securities, Inc.

PACIFIC EXCHANGE. KC. 301 Pine Street San Francisco, Caliibmia 94104 Claimants v. MORGAN STANLEY DEAN WITTER, Respondent V. HERZOG HEINE GEDULD. INC. Third Party Respandcnt FCXCA5ENO.:00-S006 DECISION The undersigned Arbitrators, having read and considered the claim submitted by Claimant^^pj^^^^and m m ^ i y O^CIaimadUs") on Fefaniar>-17,2000, and the answen of Respondent MoigaastnkyDean Witto- CMSDW^ and Third Pa

PACIFIC EXCHANGE. INC. 301 Pine Street San Francisco, Califomia 94104 In The Matter OfThe Arbitration Between: MAR 2 G 2()i}f spy •.-'-.. ^. > --A r * -:.' • - .- GUS BOOSALIS, BOOSALIS OPTIONS, LP Claimants V. INVESTEC ERNST & COMP.\NY Respondents PCXCASENO.00-S027 DECISION The undersigned Arbitrators, having read and considered the Claim submined by Gus Boosalis and Boosalis Options, LP ('Claimant")

r-.AClFIC EXCHANGE, INC. 301 Pine Street San Francisco, Cahfomia 94104 In Thd Matter OfThe .Arbitration Bcnvecn: M.AKCO .AMBROSELLI and TANYA JANXOVIC. f 'iinia^iis PCX CASE #: 99-S030 DECISION Or.DE :)1SCCIU"NT CORPORA'noX and TOM KEZLHR. Respondents The undersigned .Arbiiraiors. having read and considered die Claim submitted by Marco Ambroselli ("Cbintiani") on Ju.ie ?0,1999, and lhe Answer of OLDE Discount and Tom Fezler ('^Respon

PACIFIC E.\CHANGE. INC. 301 Pine Street San Frarxisco. California 9^104 « « «W-T rw^.. In Ihc Mjtter OfThe .'Xrbitralion Betwieen: ANTIIONT .\PI*ELr,. Claimam. AUG - 3 ZODl PCX CASE NO. 00-S029 ^^y 3. -r..- - ' j / . r-." 1 • • •-•••-• DECISION V. MORG.\N ST.\NLEY I)l-:..\N wnTER &. CC.' and AL.-\N WARTLKY. Responder4ls. The undcrsisrncci Arbitrator, having read and considered the Claim dated December 5,20