PAaFIC EXCHANGE, ENC. lis Sansome Street, 3*^ Fk>or San Francisco, Caliform'a 94104 OCT \ 6 zon -..— '-^f In Tbe Matter OfThe Arbitration Bctv>-ecn PAUL SCHREIBMAN, Claimant, V. CHARLES SCHWAB & CO.. Respondem PCX CASE tf01-S008 DEQSION Tbe undersigned Arbitrator, having read and considered the Claim submitted by Claimant on May IS, 2001 and the Answer of Rcqxmdem, hereby renders the fbltowing Deciskm pursuant to Rule

P.^ClFIC EXCILANGE. INC. ,-_.-.. 115 SansomeSircc; ftEViis i .-• San Fra.nc:5co, California 9^104 OCT 1 s 2oei In the Matter of Ae .Arbitrannn Between: ' j ^ " - ' 3JCHARD HYNF.S, PCX CASE NO,: OO-SOll I Claimanr. j DECISION .^.G. HDWARDS& SONS. D.AVTD TRLIMBLEJ .OD NHCHAEL GORTON ! Respondcn:.'.. The undersigned .'Curators, having read ind considered ic Claim submitted bv Richard Hynes I'CIaunanc") on or

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dempsey I Prappas, Claimant, vs. TD Waterhouse Investor Services, Inc., and Daniel R. Green } Respondents. Case Number: Hearing Site: 01-05299 Houston, Texas Claimant Dempsey J. Prappas, hereinafter referred to as "Claimant," was represented by Samuel Benton Edwards of Shepherd Smith & Bebel P.C. S 1314 Texas Avenue, Twentieth Floor,

PACIFIC EXCHANGE, INC. 115 Sansome Street, 3"* Floor San Francisco, Califomia 94104 "^'-um In The Maner Of The .Arbitration Between: Robert Kvle, CLAIMANT V, D..-\. Davidson & Co., Timothy Owens. .\nd Brenda Hurlcss, RESPONDENTS PCX CASE 01-SOlO DECISION The undersigned Arhiirator, having read and considered the Claim submitted by Robert Kyle ("Claimant'') on June 18.2001; the Answer of D.-A. Davidson &. Co., Timothy Owens, and B

PACMC EXCJiANGE, [NC 115 Sansome Street, J"* Floor San ryancisco. Caiifomia 9^10< t 115 Sansome Street, J"* Floor rlis ^ *": ^ / . NOV 1 3 zottt In Tlie Matter Ot'The Arbitrarion Between: • --^ - . -- Kar>"n Whitham, CLAIMANT PCX CASE 01-L004 DECISION \. Salomon .Smith Barney and Larr/ Kush. RESPONDENTS The undersigned Arbitrator, having reviewed lhe pleadings and c:vidcncc or both Kar^Ti Whitham (**C!aimant") and Salomon

PACffIC EXCOiNGE, INC 115 Ssnsomc Street, 3rd floor San Fraodsco, California 94104 In Tbe Bfirtter of ih« Arbitnitian Between CLMMANT V l.TBS/IfaiMWebber Roger Rowe, Mark Floprer, EricToiver RESW5KDE?TTS PCX Case No. 01-5012 DECISION His andeniensd Axbnr£tor, having lead and ccinsidered ifae Qaim suboiited by Oaiisant on June 30, 2001, and tbe Asawtt of Re^>ondcKts. hes«by loden the following Dedson ptrsoaa to Rules 12.2 and lZJ9

L#3 '•H^- 3 ' J2 11.4j/r !: JfC 42t;):554;^ y ^ '^ M'JFIC EXCHAKGC W( ilSSwsoracSireet ^3(1 l-rancisco.Cah&ffiiU ^'^.A Sicv«n SmiiK. CUimuit PtxrjL5F.>0.:W-I.ft2« D£aS3')N TtiL jmtursi^td ^rtiiiraior;!. ba< in.>. stid and caoxidcrtd ihc K.»*Tn s'lbrr'ncn h^ Chim^iK S:«^v'l Sptitn rCIa< m«iiOon^Jav«nib«i2T.::t)U4.31^ ihe Answer of Fiine'^bbCT. Inc. and Joel Kubijn"hc5p< uiiirmO \la:Kd i cfaiuar* 2. 2001. ha\in^ ^.>fi?ideTed »l! usiimDny givci mi

PACIFIC EXCHANGE, INC. 301 Pine Street San Francisco, California 941104 In The Matter OfThe Arbitration Between: DONALD S. CASON Claimant FIRST UNION SECURITIES, INC. And SCOTT M. DENNISTON Respondents PCX CASE # 00-L023 DECISION The undersigned Arbitrators, having read and considered the Clarm submitted by C)ainr< ant on July 17, 2000 and the Answer cf Respondents, hereby render the 'oliowing Decision pursuant to Rule 12 of the R

PACIFIC EXCH.ANGt. INC. 115 Sansome Street, 3"* Floor San Francisco, Califomia 94104 In The Matter OfThe Arbitration Between: Diane Merrick, CLAIM.ANT PCXC.ASE01-S023 DECISION .AG Fdwards, hic, Paul Kramhout, Ronnie ( .Monatlik, and Salomon Snitii Bamey j RHSPOKDHNTS .A(.i Hdwards. Inc.. Paul Kromhout, and Ronnie Monatlik were dismissed by Claimani prior to the hearing on the merits. The undersigned Arbitrators, having read and considere

PACIFIC EXCHANGE, INC. ' 1 • 5 Sansome Sircet _ pnnn San Francisco, Califomia 9^10^ """' "^''^ ^"'CX ARBITRATION In the Matter OfThe Arbitration Between: THJiODORE S. GOODWIN, in all Authorized capacities. Claimant. PCX CA.SK H 01-5033 .And Morgan Stanley DW, Inc. (Morgan Stanley Dean Witter) Respondent. •) The -inticrsigncd .-\rbiir2;or5. having read and vor.£idcred the Claim subrrJned by Ci::im3nt on December 27.2001. and the .