IN ARBITRATION UNDER CHAPTER XVHI OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED IN THE MATTER OF • Claimant, & Counter Respondent and Robert S. Shenk^, Respondent, Counter-Claimant & Cross-Claimant, and Advest, Inc., DECISION FileNo.94NM06 Respondent, Counter-Claimant & Cross-Respondent. Representatioa .'ifi AdolphD. Seltzer, New Yoric, New Yoik For Robert S. Shenker: Ronald Shindler, Fowler. Whit

IN ARBITRATION UNDER CHAPTER XVni OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED IN THE MATTER OF BHNV Investments, Inc., Claimant/CounterRespondeot, V. Kessler-Asher Clearing L.P., Respondent/CounterCIaimant. DECISION File No. 96M01 For Claimant(s): For Rfispondent(s): Representation Howard J. Stein, Chicago, Illinois Stephen P. Bedell, Gardner, Carton & Douglas, Chicago, Illinois Pleadings Statem^ of

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED In The Matter Of Jerome Daniels, Claimant, V. Charles Schwab & Co., Inc., Respondent. DECISION File No. 97 NM 003 Representation For Claimant(s): Pro Se For Respondent(s): Rhonda Y. Jones, Charles Schwab & Co., Inc., San Francisco, CA Pleadings Statement of Claim and Submission Agreement, flled on or about: Febmary 11, 1997 C

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED In The Matter Of Raymond James and Associates, Claimant, V. David Schmueck, Dennis Rowe, Brad Cartwright and ING Securities, Futures & Options Inc., Respondents. DECISION File No. 97 MOO 1 For Claimant: For Respondents: Representation Gregory Hopp, Raymond James and Associates David Schmueck, pro se Brad Cartwright, p

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED In The Matter Of Edward C. Nelson, Claimant, V. Pmdential Securities Incorporated, Respondent. DECISION File No. 96NM012 For Claimant(s): For Respondent(s): Representation Pro Se John M. O'Leary, Pmdential Securities Incorporated Pleadings Statement of Claim, filed on or about: Supplement to Statement of Claim, filed

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED In The Matter Of Customer,'*' Claimants, V. Jon C. Porter and Pmdential Securities, Inc., Respondents. DECISION File No. 96 NM 10 Representation For Claimants: Marvin Mandel, Esq., Annapolis, Maryland For Respondents: Donald R. Littlefield, Esq., Prudential Securities, Incorporated, Dallas, Texas Pleadings Statement of Cl

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED IN THE MATTER OF Jeffrey A. Perlewitz, Claimant, V. Jasen Benton and A.G. Edwards & Sons, Inc., Respondents. DECISION File No. 96 NM 09 Representation Frank R. Terchan and Jeffrey S. Krause, Terschan, Steinle & Ness, Milwaukee, Wisconsin For Claimant(s): For Respondent(s): Jeff Jamieson, A.G. Edwards & Sons, Inc., St. Louis,

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED In The Matter Of Customer'*', Claimant, V. Charles Schwab & Co., Inc., Respondent. DECISION File No. 96NM03 For Claimant(s): For Respondent(s): Representation Jeffrey A. Eeldman, San Francisco, CA Michael Lawson and John P. Halfpenny, Steefel Levitt & Weiss, San Francisco, CA Pleadings Statement of Claim and Submissio

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED IN THE MATTER OF Kottke Associates, Inc., Claimant, V. Joseph Homberger, Respondent. DECISION File No. 96 M 05 Representation For Claimant(s): Lloyd Kadish, Lloyd Kadish & Associates, Ltd., Chicago, Illinois For Respondent(s): Arthur W. Hahn and Sean M. Berkowitz, Katten Muchin & Zavis, Chicago, Illinois Pleadings Statement o

IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED In The Matter Of John and Arlene Bengel , Claimants, V. Charles Schwab & Co., Inc. , Respondent. DECISION File No. 98NM009 Representation For Claimant(s): Pro Se For Respondent(s): Steve M. Murphy, Charles Schwab & Co., Inc., San Francisco, CA Pleadings Statement of Claim, filed on or about: August 31, 1998 Answer, f