PACMC EXCHANGE, INC 115 Sansome StnsBf San FrandaoD, Califomia 94104 3h the Matter Of The Arbitoition Between: ) PCX Arhitration No. G3-S004 ) REBECCA LIFTON. ) ammant, | STIPULATED ARBITRATION AlVASD V. ) MERREX LYNCH, PIERCE, PBNNER & ) SMTTH INCORPORATED, JEFFREY ) HANSON and PETER ECONOMOS, Respondents. The iuideisignedAxbitmtois,havlns read and ccBisideiedlluC^ USEDL. CCIaimant") on or about Amiaiy 2, 2003, vad die Answer of

' ' ' xAC IFIC '^^^ '^^^'"' ^•'^ ''^^^-^ EXCHANGE STOCK ft OPTIONS ,. _ .PACIFICJEXCHANfiE..INC_._. ... 115 Sansome Street San Francisco, Califomia 94104 In The Matter Of The Aifoitration Between: Cynthia Bohnker PCX Case No. 02-S058 Claimant, ORDER OF THE PANEL V. Wachovia Securities, Inc., Raymond Bramer and Douglas Wulbrecht Respondents. Peter Wercinsld (Chair) and Robert Fisher (collectively, the "PaneH presided over this mat

PACIFIC ffiHSftMes, IKC. 115 SanaoBa Street San FranclttOOf C% 94104 In Ae Hatter of Uie Arbitration Betveea ciaiaanfe.. CbAtlea Sr!l»ab C^ Co.* Kespondent irac CAam no. 06-SOOl DBCISIOH Thft underfligned Arbltratorr havLu-Cf read and considered the Claln Qubnitl^ad by Claimant and tba Anaver of Rsspondenti tog«t)ie:r with docunantary subnisBione filed by tha p^rtlaBf hereby rendece the following Dealalon pursuent to Sale 12

NYSE ARCA 115 Sansonifl Street San FrancTscd, CA 94104 In Tiie Matter Of The Arbitration Between: Steven R. Ratdlffe, Qaimant NYSE Area CASE #; 06-S003 v. DECISION QBC World Markets Corp., Respondent The undersigned Arbitrator, having read and considered the Claim submitted by Claimant, the Answer of the Respondent, and the Rebuttal of the Claimant, hereby renders the following Decision pursuant to Rule 12 of the Rules of NYSE Area, Inc. (f/

NYSE ARCA 115 Sansome Street San Francisco, CA 94104 [n The Matter Of TTie Arbitration Between: Vtrader Pro, LLC and GreenTree Capital Markets, LLC Claimants v. Frank Perre Respondent NYSE Area CASE #: 06-S002 DECISION The undersigned Arbitrators, having read and considered the Claim submitted by Claimants and having considered evklence presented at the hearing on May 24, 2006, hereby render the fallowing IDecision pursuant to Ru

NYSE ARCA 115 Sansome Street San Francisco, CA 94104 In The Matter Of The Art}ltratiDn Between: Ronald Perliman; Lois perllman; Ronald and Lois Perllman on behalf of their minor chfldrenj, Paul and Olivia Perliman; and The Periiman- Bolen Partnership! Claimants, V. Salomon Snnlth Barney, Inc., n/k/a Citigroup Global Markets, Inc.; and Scott Shagrin Respondents. NYSE Area CASE #r 04-5003 DECISION The undersigned Arbitr

K«tV Finra Financial Industry Regulatory Authoritv FINRA DR In the Matter of Arbitration Between Case: Kit Waddle and Brenda Waddle v A.G. Edwards & Sons, Inc. Docket: 06-SO10 Attorneys: For Claimant(s): For Respondent(s): Date Filed: 8/8/2006 Timothy Canning - Novato, CA Brent ]. Burtin - St. Louis, MO Daryl S Landy - Palo Alto, CA First Scheduled: 06/05/2007 Decided: 10/11/2007 Case Summary: Public Customer Claimants al

Finra Financial Industry Regulatory Authority FINRA DR In the Matter of Arbitration Between Case: Marco Roman v Citigroup Global Markets, Inc. Docket: 06-S007 Attorneys: For Claimant(s): For Respondent(s): Date Filed: 5/1/2006 Timothy A. Canning - Novate, CA Hugo A. Hilgendorff - New York, NY First Scheduled: 08/16/2006 Decided: 9/20/2007 Case Summary: Claimant, a public customer, alleges fraud, negligence, breach of contract and