PACIFIC EXCHANGE, INC. 301 Pioe Street San FranciscOi Califbrnia 941(M s-ft In the Matter OfThe Arbitration Between: PAUL F. ?EL0S1. JR., Claimant. PCX Arbitration No. 01-S009 DECISION V. BANC OF .AMERICA SECURITIES, LLC, and EDWIN DARRETl 0. Respondents. • • 1 n.^••- The undersigned Arbiiriitors. having read and considered the Claim submined by Claimant on June 12, 2001, and the .Answer of Respondents, hereby render the foll

PACIFIC STOCK EXCHANGE, INC. ^Gjli 115 Sansome Street ^/d/ San Francisco. CA 94104 t(^ In the Matter ofthe Arbitratioii Between JSS IN\^STMENTS, LLC, Claimani. PCX Case No. 01-S017 DECISION MJT. SECURITIES. LLC, JOHN W. BROVVX .^iid NLMTHEW ADAMS, Respoadenis, .AND RELATED CROSS COMPLAINTS and COL^TERCL.MMS I The undersigned Arbitrators, having read and considered the claims, counterclaims and cioss-complaints submitted by the pa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimants Pase Nnmher 01-05284 Victor and Tina Serra Name nf the Respondents Rearing Site* Baltimore, Maryland Ferris, Baker Watts, Inc., and Derek M. Ehman RF.PRFSFNTATTON OF PARTTFS Claimants Victor and Tina Serra, hereinafter collectively referred to as "Claimants", were represented by George S. Robinson, IV, Esq., Robinson & Associates, P.C., Baltimore, M

PACIFIC EXCHANGE, INC. 301 Pine Street San Frandsco, Califomia 941104 SECciVED PCX ARBITRATION In The Matter Of The Arbftratlon Between: DENNIS CHODOROW, Trustee of the Bernard Towers, M.D. Trust dated July 23,1997 Claimant MERRILL LYNCH PIERCE FENNER And SMITH, INC. and And A. 3. SAFAVI Respondents PCX CASE # 02-L030 DECISION The undersigned Art>ltrators, having read and considered the Claim submitted by Claimant dat

PACIFIC EXCHANGE, INC. 301 Pine Street San Frandsco, CA 94104 In The Matter of the Arbitration Between: IRAL G. HODGE, individually and as Trustee for the IRAL G. HODGE UVING TRUST. CLAIMANT V. PRUDENTIAL SECURITIES. RICK LABARE, AND DONALD ARINGTON, RESPONDENTS PCX CASE #: 02-8033 ARBITRATION DECISION HEARING DATES: JULY 29 & 30, 2003 LOCATION; SAN FRANCISCO. CA The undersigned Arbitrators, having read and considered the

uc jx/v^ tfs.flo-r -* PftClFiC EXCHANGE. INC. 115 Sansoma Street RECEIVED San Franc!S=a. Caiifbnis 341G4 _-p: _ ' -.-•. In The Matter Of The A-WratlonBahween: """• PCX.iRS:TP,£.T'0\ VENKATRAMANI. PQX Case No. C3-S003 Ciarmant. DECfS'ON SALOMON SMITH BARNIgY et ai. Respondents. The undersignad Atbttrelora. having read, tieanj. and oortstdererS the Cress-Claim subnitted by Cross-Claimant. Ihe Anawar cf Cross-Claim Respondent, (tw C

PACIFIC EXCHANGE, INC. 115 Sansome Street San Francisco, CA 94104 In The Matter ofthe Arbitration Between: RICHARD PEREZ CLAIMANT GOLDMAN. SACHS & COMPANY JOHN UNDERWOOD RESPONDENTS } \ A } } } AND) } } } ] PCX CASE #: 02.S062 ARBITRATION DECISION HEARING DATES: APRIL 13.14. AND 15, 2u^C-; LOCATION: SAN FRANCISCO. CA T.^^e undersigned Arbitrators, having read and considered the Claim submit

In The Matter Of The Arbitration Between: THOMAS H. WILSON, DECISION Claimant PCX 01-8024 And PRUDENTIAL SECURITIES INCORPORATED Respondent The undersigned Arbitrators, having read and considered the Ctaim submitted by Claimant's on October 30,2001 and the Answers of Respondent, hereby render the following Decision pursuant to Rule 12 of the Rules of the Board of Governors of the Pacific Exchange: REPRESENTATION OF PARTIES Claimant: William

RECEIVED RECEIVED Stipulated Award AU5 1 8 ?^"^^ u% 0 i ^ i Pacinc £.\cbangc po>: i{^5'.'^?'•AT^0^• ^^^ AR5lTRfliT!0M h the M3:i£r ofthe Arbitration Bet^^•een: JCRGE S.ANCHEZ. 5^XVL\ SANCHEZ. JOSIMA CORPORATION' and CORPORACION "M, Claimants, vs. SALOMON SMRH B.^RKEY: AIDES B.AXTER. GABRIELTORRENS. MAiLTIN ASKOVHTZ and JORGE GR.'\N.^O, Rcspondcn'j fas* NtiM'.J-sr: 01-SO-" HearingSJEC: San Francisco. Cali.'017112 Nar^re cf lb; I^iipuTe: Cusiomcr

PACIFIC EXCHANGE, INC 115 Sansome Streo. 3"* Floor San Francisco, Caiifoniia 94104 In The Matter OfThe Aibitration Between Laszlus, Claimant, V. Morgan Stanley et al Respondent PCX CASE #0Z-$006 DECISION The undersigned Arbitrators, having read and coosidered tbe Claim submitted by Claimants and the Answers of Respondents, and having considered evidence presented at hearings on March 23-25 and August 24-26, hereby render the followin