PACIFIC EXCHANGE, INC. i:: -he Matter =f -.he ) Matter N'c. Cl-LOiS Arbitration Between ) ) 1 Clairr^r.t. ) DECISICK SStgiVA^ ) -apainst- MAR25 2C02 y-:-u=.:- I.Y>:CK PIERCE TL-N-KE?. & ) PCXARBimAT/Or SiVIT:-:, IXC; AND THOMAS SUSAN, i \ RespcT^dencs. ) Th& ur.dersigriCd Arbitrators, I'aving read and cicnsidered tha clniT. subniitted by claixar.t •: "ClaiT.ant") , the arswer of respondents Merrill L'jT.ch, Fierce,

NYSE ARCA 115 Sansome Street San Frandsco, CA 94104 In The Matter Of The Arbitration Between: Herbert A. Thomas and Marcia M. Thomas Claimants V. Charles Schwab & Co., Inc. Respondent NYSE Area CASE #: 06-SDD4 DEaSION The undersigned Arbitrator, having read and considered the Claim submitted l3y Claimants, the Answer of the Respondent, and the Rebuttaf of the Ciaimants, hereby renders the foliowing Decision pursuant to Rule 12 of

l a : . . . ---••"* J.;.; 15 2SSk PACIFIC EXCH.AXGK, INC. 301 Prac Street PCX ARRlTRATIO^ San Fnmcisco. California 94104 DAVID DETIEGE ) PCX CASE #: 99-S024 ) Claimani ) MlENDF.n DECISION IN TIU: MATTER OF ) ARBITRATION BETWEEN DAVID DHTIKtiH V. ) AND CHARI.R.S SCmV.\B & CO. INC. CilARLMS SCHW\-\B & CO.. INC. ) Reiiponden: Flu understgned Arbitrator, having read and considered the Claim siuhmined by Claimant on Jtme 9

PACincExCH.VNGE i».\rinc hxcHANor. iv jOI Pine Siris: "Sav Francisco, ranfcnn:! ^-ll'j- ^'liff.trc'A.iuenc:. indiMdual!> ami Jerumixeiy ; 'in hehalfoi West Coast C.ipiial.! .P i I CLAIMANT DECISION I\ IHE MATTER OF ARBITR-iTION BETNXF.EN n IFFORD •A^OENER. I\D1VIDI:AI.LV AND DLR;\ AllVr.i Y ON BEH.A.Lr (JF WHS"! IKJASTCAP'IAL. LP. -VNU 1EF^R£"Y I %M..-50N .*£:Yri:\ •; Wilson. R!:S?ONDL-M PCX CASE ":*»9-S034 Ihe un

P.\CIFICEXCHA.\GE • f iM fc i ir T:.I % - PACIFIC EXCH.\NGE INC. 301 Pine Street San Francisco, California 94104 Naihong Chen V Charies SC^WAO & Co. ) ) CLAIMANT ) ) Inc. » R5.SPONDENT ) PCX CASE **: 99-S038 DECISION IN THE MATTER OF ARBITRAIION BETWEEN NAIHONG CHEN AND CHARLES SCHW.^B St CO.. INC rhe undersigned .'\n>itrator. having read and considered the Claim submitted b> Claimant Naiho

P.ACIKIC KXCILVNCiE. INC ^• PCXAR5iT.==;iiTI0!^ .sanl-rancisco. La:! n:nia 9'i;04 " *•*'*"' >n'. .X. Pcrk:ns i PCX C.\SK #: 98-S032 1 CI..AI.MA.NT 1 Di:f:iS10N IN IHE .M.ATThH OF I .\i4flrn4Ai ION Bi-;iT.vtE\ TOM .A V . PERKINS .^\nOLDE DISCOLfNT CORPOR.-\llON .JLNDTHOMA.S OLOf. D-.scomt Cuqjontior. Tnoirias Edw-ani i EOWARO COCO .AND ROES i I lIRf)f (JH Ci^^o and RiKTS I ihiouL-h 100, inclu^sivc i '/«). INCLUSIVE RF.SP(3NUtNTS I he u:id

.•'.\CIFJCE\CH.\.%GI- PACIFIC EXCHAN'GH,INt• 301 Pine Street Sun Francisco, Cahfomia *ii\(\^ Monreil Camn. Jr. CLAIMANT V Pmdcnnai .Securines. inc.. RESPONDbNT PnjJennai Securities. ii:>:. COl rNThRCLAlMANT \' MontcH Cumii. Jr. PCX CASE ^: 9H-S023 DECISION IN THE MATTER OF ARBITR-AnON BEIT\'hEN .MONTELL CI'RKIN, JR. AND PRLDrNHAL SECURITIES. INC. AND RELATED C01JNTERCI..AI.M lhe undersiimed Arbitrators, havjig

RACIKICEXCHA.NGE PACIFIC EXCHANGE. LNC. 301 Pine Street San Fnmcisco. California 9J104 .Man 01 sen C1..A1M,A.\T Ucur. .Slca:nii Ji: (.'o . Inc.. Richard LaVoice. und Preston Hammer Ri:SF(JMI3HNTS B< rar. Steams &. Co.. Inc. and Richard LaV'mce CROSS-CLAIM.VNTS V. PrcMon Hainra^ CROS-S-RESPONTJENT PCXC.\SEi»:W-S012 DF.CISION iN THF. MATTER OF .\RnnRATION BErAEEN ALAN OI.SKN .AND BEAR, STEARNS & CO.. INC., RICHARD 1.

2601 Airport Drive, Sv'\e 34 5 ^; ,.,,.^ Torrance, CA 90505 n*^'• *..Wir».0 Tel. (310) 257-9363 •,«,*««« Fax {3101 257-9360 -'-f'^ ^ 0 ZOOO Attorneys for Respondents OLDE DISCOUNT CORPORATION and THOMAS EDWARD COCO u i I . I • 4 5 6 7 9 :o !1 !2 13 14 15 16 >7 !8 BEFORE THE PACIFIC EXCHANGE STOCK & OPTIONS JOANNE LINDEMAK, individually and ) CASE NO. 99-S009 as Trust

I 1 ! 1 3 *!. 10 j u j 12 13 14 IS 16 17 18 19 20 21 22 23 24 25 26 27 28 MITCHELL J. ALHEF-T, ESC- I State Ear I.'c. 115114 ALBERT & Will, LLP 2S31 Airpcrt Drive, Sui-a 345 Torrance, CA 90505 Tel. OlO'i ss^-ojes Fax f310) 2S7-93ec JUL 1 7 M. Aticornevs tor Respondents ^CXARBITRATIOfci OLDE DISCO'JtIT CORPCRATICN and THGMAS EDWARIT COCC aE