PACinC EXCHANGE, INC. 301 Pine Street San Francisco, California 94104 hi The Matter Of lhe Arbitration Between. HerbeirT Woods CLAIMANT Dean Witter Reynolds RESPONDE^^^ PCXCase#:(NojOO-S010 DECISION Tbe uruknigned Arbitrator, havug read and considered the claim submitted b>- Claimam on July 24. 2000 and the Answer of Respondent, hereby renders die foUowing Decision pursuam to Rules 12 of die Rules ofthe Board of Governors ofthe Pacific E

^1-SrJ5 PACIFIC EXCHANGE. LMC 301 Pme Street Ssn Francisco, California < >4104 In the matter ofthe .-Vrbitraiion between STEVE EDNIAN. Claimant, vs CRAIG MILLER, DISCOVER BROKER.AGE DIRECT, et al., Respondems DECISION OF THE P.ANEL The undersigned Arbttrators. havmg read and considered the Claim submitted by CUimam Steve Edman C*Claimant" or *^dnun") on June 11, 1999, and the Answer of Respondents Discover Brokerage Direct. Inc. (

^ PACIFIC EXCHANGE, INC 301 Pine Street Ssn Francisco, California 94104 In the matter ofthe Arbitration between: JE.AN ALBURY, an individual and as Trustee ofthe Jean Albury Family Trust, Claimant, vs PRUDENTIAL SECURITIES. INC.. Respondem PCX Case No. 96-L054 DECISION OF THE P.ANEL lhe undersigned Arbitrators, havmg read and considered the Claim submined by Claimam Jean Albury ("Claimant" or **Albiiry") on July 26, I99ti, die Am

>fZ P.ACIFIC EXCR^NGE, INC 301 Pine Street San Frandsco, CalifBnuB 94104 'S^eiVSn t '.•* H In The Matter OfThe Arbitration Between: . .. „ 00 "-^^ ^' ^eiv Garrett D Goggm, ) PCX CASE #: 99>-S00g °CXj4RDi-n-,*^ CL.AIM.ANT ) ''^«BITRAT/C^ DECISION Group One Trading, L P , RESPONDENT The undersigned Aibitrator, having read and considered die Claim submitted b>- Claimant on March 1, 2000 and the .•\nswer of Respon

PACIFIC EXCHANGE, INC 301 Pine Street San Francisco, Califomia 94104 NOV 2 - 290(1 In the Matter ofthe Arbitration Between: KINf YOUNG, Claimant CHARLES SCHWAB & CO. INC., Respondent PCXCASENO.99-S027 DECISION The undersigned Aibitrators, havmg read and enuidered the Claim submitted by Claimant Kim Young Ot^lamiant") on June 8,1909 and the Answer of Respoodent Charles Schwab C'RespondODC*'); having considered all ofthe testim

PACIFIC £.\C H\.^Gc. !NC" ;0- P:neSir«: S-- Tranche::. '"j..:i:rnia •-."• •1 'fit' ^!jl:^•! •'.•\ The V'.;'.raf.t^n He:*.^< fs.T -^i*- .-'L' -= -.1 J Pt"\ K. \SK M") .•»n-Nt»0«* •IIR:.J:I •''•*.:. :;\'-"-^.. 'ih- • ?.""^, -.f^;j.".iiic: *"•: :>;t.'- TJitf anoersiunes Arniirators. ^i•.:^:^: carcmil^ read ird considerea :nc Cizirr jji:mjttt"J h\ (.'.asi-.dn'. ;n March. 12. IO-OJ and *.he Answer of Responaer.i ^dted Miiy ^. I'JOO

PACmC EXCHANGE, INC. 301 Pine Street San Francisco, CalifomiB 94104 In The Matter OfThe Arbitration Between: Claimant V. CHARLES SCmVAB & CO., Respondent LNC, PCX CASE No. D0-S018 DECISION PCXrtRBITRATiC; The undersigned Arbitrator, haxing read and considered the claim submitted by^^|^^^Bf*CIaimant* or "^llp^ on June 16,2000, dbe Answer of Charles Schwab & Co. CRespond^^oP^cflvrab"), and tbe response of^i^^ hereby renders the fis

PACIFIC EXCHANGE, INC 301 Pine Street San Francisco, California 94104 tn The Matter OfThe Arbitration Between: 32.A ^a -^t J • •* ' DEC Q 7 2S^: PCXARBITRATiO: THOMAS GINGRICH ET AL, Claimants v. EVEREN SECLTUTIES ET AL.. Respondents PCX CASE #:00-S005 DECISION The undersigned Artntrators, having read and considered tbe chum submitted by Thomas Gingrich, individually and as trustee ofthe Gingrich 1989 Living Trust

PACIFIC EXCHANGE, INC. 301 Pine Street San Francisco, Califomia 94104 ZIC I 1203C PCXARB1TRATI0^ In The Matter OfThe Arbitration Between: »., and Claimants V. FIRST UNION SECLTUTIES, INC. and FREDDIE LEE, Respondents PCX CASE #:00-L022 DECISION The undersigned Arbitrators, having read and considered the claim submitted b] MMMMpkii, andMMMVttfti C'Claimants") on June 26,2000, and the answer of First Union Securities, Inc.

PACIFIC EXCHANGE. KC. 301 Pine Street San Francisco, Caliibmia 94104 Claimants v. MORGAN STANLEY DEAN WITTER, Respondent V. HERZOG HEINE GEDULD. INC. Third Party Respandcnt FCXCA5ENO.:00-S006 DECISION The undersigned Arbitrators, having read and considered the claim submitted by Claimant^^pj^^^^and m m ^ i y O^CIaimadUs") on Fefaniar>-17,2000, and the answen of Respondent MoigaastnkyDean Witto- CMSDW^ and Third Pa