Pacific Exchange. Inc. 115 Sansome Street San Francisco, CA 94104 In The Matter of Tlic Aibatcadon Between: Suzanne Rickwai PCX Case #02-8055 Claimant V. DECISION Salomon, Smith Barney; Emest M. Back; Gerald R. M&estu; Lee Beattie Respondents The undasigned Arbitrators, having read and cansidered die Claim submitted by Claimant and the Answer of Respondents, and having considered evidence presented at hearings on Januairy 25,26,27, M

PACIFIC EXCHANGE. INC. 115 Sansome Street San Francisco, CA 94104 In The Matter Of The Arbitration Between: DONALD ARNDT, Ciaimant, V. SALOMON SMITH BARNEY and MARCUS FAGERSTEN, PCX CASE No. 02-5016 DECISION Respondents. The undersigned Arbitrators, having read and considered the Claim submitted by Claimant and the Answer of Respondents, and having considered evidence presented at the hearings on April 27, 28, and 29, 2005, hereb

Arbitration Decision PACIFIC EXCHANGE. INC. 115 Sansome Street San Francisco. CA 94104 In The Matter Of The Arbitration Between: CbMMAIMTS NAMES Kennedy Leong, Vinipaksh Honnur, Khashayar PouT]alilvand, and Jack and Anggraeni Nichols Claimants V. RESPONDENTS NAMES PCX CASE #:02-SD54 DECISION A.G. Edwards & Sons, Inc., Paul Kromhout and Ronald Monatlik Respondents The undersigned Arbitrators, ha^^ng read and co

PACIFIC EXCHANGE, INC. lis Sansome Street San Francisco, C A 94104 In the Matter Of The Arbitration Between: V. Marvin Silver Claimant Prudential Equity Group, LLC a/lc/a Prudential Securides Incorporated and Daniel Sheikow Respondents PCX CASE #04-L009 Decision Hie uidcrsigned Arbitntor, having read and considered the Claim submitted by Claimant and the Ansvt-er of Respondents, hereby renders the following Decision pursuant to R

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-05276 David Shu, claimant vs. CharagYi Chen and Alex Yaung, respondents. ATTORNEYS: Claimant appeared pro se, West Hills, CA. Respondent, CharagYi Chen, appeared pro se, Walnut, CA. Respondent, Alex Yaung, appeared pro se, Chico, CA. DATE FILED: October 8, 2001 CASE SUMMARY: Claimant alleged that respondents breached his employment contract when they became President and Vice P

PACIFIC EXCHANGE. INC. 115 Sansome Street San Francisco, CA 94104 In the Matter of tbe Atbitraiion bet\t'een: RONALD J. LEVIN and PEGGY S. LEVIN, Claimants, V, imS FIN.'XNCI.AL SERVICES, INC., PATRICK LOWE, and CHRISTINA DENEK.\, Esq., Respondents. PCXCASENO,:04-L 010 DtClSlO.N The undersigned Arbitrator, having! read and considered the Claim submitted b>' Claimants and tbe .Answer of Respondents, and having considered all the eviden

PACinC EXCHANGE, INC. 115 Sansome Street San Frandsco, CA 94104 In TTie Matter Of The Arbitration Between: C.J. Hefte V. Claimant First Union Securities, Inc. and Fredric C. Berger Respondents PCX CASE #: 02-S013 DECISION The undersigned Arbitrators, having read and considered the Claim submitted by Claimant and the Answer of Respondents, and having considered evidence presented at the hearings on April 5-7, 2005 and June 17,. 20

Pacific Exchenge Inc. 115 Sansome St San Francisco, CA 94104 In the matter ofthe arbitration between: MARVIN PERLOFF and ESTELLB FOSTER, Claunants - PCX Case # 04-S005 V. DEaSION MERRILL LYNCH. PIEEICE. FENNER AND SMTTH, INC., and I AMES HALI-MAN, Respondents Tbe undersigned Arbitrators, having read and oonsideied the Claim submitted by Claimants on December, 2003 and the Answer of Respondents, hereby render the fbllowing decision pursuant to Ru

s 9 10 II 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 BEFORE THE PACIFIC EXCHANGE, INC LINDA FOX. vs. Claimant, I No. 02-S052 STIPULATION AND AWARD MORG.AN STANLEY DEAN WTFTER and H. TODD HARMON. Respondents. REPRESENTATION OF PARTIES For Claimant: For Respondents: George W. Kotte LAW OFnCES OF GEORGE W. KORTE 220 Sansome Street, Suite 1000

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 BEFORE PACIFIC STOCK EXCHANGE JO.^N HEIDENREICH, Claimant, vs. MORGAN STANLEY DEAN WITTER, KEVIN MOKTOYA and JOHN JABER, Respondents. No. 02-S020 STIPLXATION AND AW.4R0 REPRESENTATION OF PARTIES For Clainutat: For Respondents: Timodiy A. Cannmg LAW O