Arbitration Dectelon PACIFIC EXCHANGE, INC. 115 Sansome Street San Francisco, CA 94104 In Tlie Matter Of The Arbitration Between: RICHARD CABANE5 Claimant v. COLE ROESLER TRADING GROUP, L.P., 3. MICHAEL COLE, PAUL 3. ROESLER, VANCE K. HILLSTROM AND SHAUN D. BISHOP PCX CASE #: 01-SOll DECISION Respondents The undersigned Arbitrators, having read and considered the Claim submitted by Claimant on July 10, 2001, and the Answe

PACIFIC EXCHANGE, INC. lis Sansome Street San Frandsco, CA 941D4 In THe Matter Of The Arbitration Betv^'een: Faramarz Kiani Claimant V. IH & R Block Rnancial Advisors, Inc. and Timothy CecchIn Respondents PCX CASE #:03-S008 DEDSION The undersigned Arbitrators, having read and considered the Claim submitted by Qaimant and the Answer of Respondents, and having considered evidence presented at hearings on September 29 - October 1, 2

PACIFIC EXCHANGE, INC. 115 Sansome Street San Frandsco, CA 94104 he Matter Of The Arbitration Between: PCX CASE #: 02-L056 Ruth Fisher (a.k.a. Ruth Lazar) Ciaimant V. Merrill Lynch, Pierce, Fenner & Smith, Inc. and David H. Cieary Respondents DECISION The undersigned Arbitrators, having read and considered the Claim submitted by Ciaimant and the Answer of Respondents, and having considered evidence presented at hearings on January

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Mark Moskal, Claimant, vs. Janney Montgomery Scott LLC and Peter Piccinini, Respondents. Case Number: 01-05279 Hearing Site: Detroit, Ml REPRESENTATION OF PARTIES Claimant, Mark Moskal ("Claimant"): Joel H. Kaufman, Esq., Farmington Hills, Ml. Respondents, Janney Montgomery Scott LLC ("Janney").,and Peter Piccinini, ("Piccinini"), hereinafter collectively

PACIFIC EXCHANGE, INC. 115 Sansome Street San Francisco, CA 94104 In the Matter of the Aibitration Bet^^'een: Jeff Schneider. Claimant. PCX Case So. 02-S042 V. DF.CISION Cole Rucsler Partner*. LLC. Cole Rueslcr Ti^ading Group, L.P.. LlR, LLC, Equiiec Group, LLC. Equitec Proprietary Markets, LLC. Equitec- Colc Rocsler. LLC, J. Michael Cole, Paul J. Rocslcr, Vance K. Hillstrom and Shaun D. Bishop. Respondenia, The undersigned Arbit

PAaFIC EXCHANGE, INC. 115 Sansome Street San Frandsco, CA 94104 In The Matter Of The Arbitration Between: Gall Bliss Alien. Claimant, V. A.G. Edwards & 5on&, Inc., Respondent. PCX CASE #: 03-S002 DECISION The undersigned Arbitrators, having read and considered the Claim submitted by Claimant on October 13,2003 and the Answer of Respondent, and having considered evidence presented at hearings-on January 27 and 28,2005, hereby render t

PACIFIC EXCa\NGE, DJC. 113 Sansome Street, 3"* Floor San Francisco, Califomia 94104 RECEIVED FEB 2 4 ZOOS PCX ARBITRATION hi The Matter Of The Arbitration Between Claimant, V. Wachovia Securities, Brian KondcfT Respondents PCX CASE #02-8060 DECISION The undersigned Arbitrator, having read and considered the Claim submitted by Claimant on December 6,2002 and the Answer of Respondents, hereby rendera the foUovring Decision purs

FacifieEichaBeclBe. U58aaaoiaeStrMt SaMFraDdMO^CA 941M In die Matter of ifae Aibilntion Between: MechcfiaiDeMvDdi: PCXCASEHftwaSfr ClaimaBt DECISION ^ H - ^ ' ' ^ V. A.G. Bdwards & Sons, faKu, Gedge Clobessy Respoodents The undcnigDed AibitiaeQr, having read and conadend Ae Oaun siib^ CtaimBa and die Anstwer (MfRcapoodeflta, badly latdcr the fblbv^^ Rule 12 ofthe VOAea of ifae Board of Oovenois of ilie Pacific Esd

PAHFIC EXCHA\T.E. INC 115 Sansome Street San Francisco, CA 94104 In the Matter of die Arbitration Between ) PCX Case No. 03-L012 ) Pin-XUSLAJALA, ) ) Claimant. ) DECISION -and- ) ) MORGAN STANLEY, ) ) Respondent. ) The undersigned Arbitrators, having read and considered the claims submitted by claimant Phyllis Lajala on or about April 15,2003, and the Answer of respondent Morgan Stanley, hereby render the folto\«'ing decision

PAQFIC EXCHANGE, INC. 115 Sansomft Street San Francisco, CA 94104 RECEIVED APR 0 8 Z095 PCX ARBITRATION In The Matter Of TTia Arbitration Between: DAVID AND LOIS JOHNSON, Claimants, V. FIRST UNION SECURITIES, INC. ETAL, Respondents. PCXCA5E«!02-S02t DECISION The undersigned Arbitrators, having read and considered the Claim submttbed by Claimants and the Answer of Respondents, and having considered evidence presented at th