Pursuant to NYSE Arca Rule 12.29(f), decisions arising out of NYSE Arca arbitration proceedings are publicly available. Copies of past arbitration decisions are organized below by year issued. For copies of arbitration decisions issued before 2000, please contact NYSE Arca arbitration staff directly.

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• 2015 Arbitration decisions
• 2014 Arbitration decisions
• 2013 Arbitration decisions
• 2012 Arbitration decisions
• 2011 Arbitration decisions
• 2010 Arbitration decisions
• 2009 Arbitration decisions
• 2008 Arbitration decisions
• 2007 Arbitration decisions
• 2006 Arbitration decisions
• 2005 Arbitration decisions
• 2004 Arbitration decisions
• 2003 Arbitration decisions
• 2002 Arbitration decisions
• 2001 Arbitration decisions
• 2000 Arbitration decisions

2015 Arbitration Decisions Date Closed Case #  Case Name No arbitration decisions for 2015.

2014 Arbitration Decisions Date Closed Case #  Case Name No arbitration decisions for 2014.

2013 Arbitration Decisions Date Closed Case #  Case Name No arbitration decisions for 2013.

2012 Arbitration Decisions Date Closed Case #  Case Name No arbitration decisions for 2012.

2011 Arbitration Decisions Date Closed Case #  Case Name No arbitration decisions for 2011.

2010 Arbitration Decisions Date Closed Case #  Case Name No arbitration decisions for 2010.

2009 Arbitration Decisions Date Closed Case #  Case Name No arbitration decisions for 2009.

2008 Arbitration Decisions Date Closed Case #  Case Name No arbitration decisions for 2008.

2007 Arbitration Decisions Date Closed Case #  Case Name No arbitration decisions for 2007.

2006 Arbitration Decisions Date Closed Case #  Case Name 7/21/2006 04-S003 Perliman v. SSB 6/15/2006 06-S002 VTrader v. Perre 5/24/2006 06-S003 Ratcliffe v. CIBC World Markets 5/10/2006 06-S004 Thomas v. Charles Schwab & Co. 5/2/2006 06-S001 Claimant v Charles Schwab & Co. 4/21/2006 02-S058 Bohnker v. Wachovia Securities, Inc. 4/6/2006 03-S004 Lifton v Merrill Lynch et al 3/13/2006 02-S066 Davies v. Painewebber, Inc., et al 3/6/2006 01-L022 Arenson v. Salomon Smith Barney 3/3/2006 02-S057 Dekoven v. Salomon Smith Barney 1/13/2006 05-S009 Claimant v. RBC Dain Rauscher et al 1/13/2006 04-S008 Petersen v. Morgan Stanley

2005 Arbitration Decisions Date Closed Case #  Case Name 12/13/2005 04-S002 Zebley v. Morgan Stanley DW 11/23/2005 04-S006 Cummins v. Southwest Securities et al 11/21/2005 04-S009 Kellett v. Morgan Stanley DW 10/13/2005 02-S041 Rosenfield v. RBC Dain Rauscher et al 9/30/2005 02-S064 McCarthy v. Merrill Lynch et al 9/6/2005 05-L001 Bilecky v. E-Trade Securities LLC 8/30/2005 03-S010 Clemens v. Morgan Stanley 8/15/2005 02-S020 Heidenreich v. Morgan Stanley et al 8/11/2005 02-S052 Fox v. Morgan Stanley DW et al 8/1/2005 04-S005 Perloff et al v. Merrill Lynch et al 7/8/2005 02-S013 Hefte v. First Union 5/31/2005 04-L010 Levin v. UBS Financial Services et al 5/23/2005 04-L009 Silver v. Prudential et al 5/19/2005 02-S054 Elzarka et al v. AG Edwards et al 5/16/2005 02-S016 Arndt v. SSB et al 5/6/2005 02-S055 Rickwal v. Salomon Smith Barney et al 4/18/2005 02-S021 Johnson v. First Union et al 4/18/2005 03-L012 Lajala v. Morgan Stanley 3/28/2005 04-L007 DeMunck v. AG Edwards et al 3/16/2005 02-S060 Claimant v. Wachovia et al 2/25/2005 03-S002 Allen v. AG Edwards 2/16/2005 02-S042 Schneider v. Cole Roesler et al 2/11/2005 02-L056 Lazar v. Merrill Lynch 1/25/2005 03-S008 Kiani v. H&R Block et al

2004 Arbitration Decisions Date Closed Case #  Case Name 11/12/2004 01-S011 Cabanes v. Cole Roesler et al 9/28/2004 02-S006 Laszlo v. Morgan Stanley et al 8/20/2004 01-S027 Sanchez et al v. Salomon Smith Barney et al 7/21/2004 01-S024 Wilson v. Prudential Securities Inc. 5/6/2004 02-S062 Perez v. Goldman Sachs et al 4/28/2004 02-S003 Venkatramani v. Salomon Smith Barney et al

2003 Arbitration Decisions Date Closed Case #  Case Name 10/6/2003 02-S033 Hodge v. Prudential Securities et al 9/9/2003 02-L030 Chodorow v. Merrill Lynch et al 3/28/2003 01-S017 JSS Investments v. MJT Securities LLC et al

2002 Arbitration Decisions Date Closed Case #  Case Name 12/2/2002 01-S009 Pelosi v. Banc of America Securities et al 12/2/2002 01-S033 Goodwin v. Morgan Stanley DW 9/4/2002 01-S023 Merrick v. AG Edwards et al 3/25/2002 01-L016 Claimant v. Merrill Lynch et al 3/21/2002 00-L023 Cason v. First Union Securities et al 3/7/2002 00-L028 Smith v. Paine Webber et al 1/7/2002 01-S012 Claimant v. UBS-PaineWebber et al

2001 Arbitration Decisions Date Closed Case #  Case Name 11/15/2001 01-L004 Whitham v. Salomon Smith Barney et al 11/8/2001 01-S010 Kyle v. DA Davidson et al 10/22/2001 00-S011 Hynes v. AG Edwards et al 10/18/2001 01-S008 Schreibman v. Charles Schwab 8/1/2001 00-S029 Appell v. Morgan Stanley DW et al 5/4/2001 99-S030 Ambroselli et al v. Olde Discount Corp et al 3/26/2001 00-S027 Boosalis v. Investec Ernst 2/28/2001 00-S006 Claimant v. Morgan Stanley DW et al

2000 Arbitration Decisions Date Closed Case #  Case Name 12/9/2000 00-L022 Claimant v. First Union Securities et al 12/6/2000 00-S005 Gingrich et al v. Everen Securities et al 12/6/2000 00-S018 Claimant v. Charles Schwab & Co 11/22/2000 00-S009 Peus v. Prudential Securities 11/2/2000 99-S027 Young v. Charles Schwab & Co 8/18/2000 00-S008 Goggin v. Group One Trading 8/10/2000 96-L054 Albury v. Prudential Securities Inc. 8/2/2000 99-S025 Edman v. Discover Brokerage et al 8/1/2000 00-S010 Woods v. Dean Witter Reynolds 6/20/2000 99-S007 Fuller v. OLDE Discount Corp et al 5/11/2000 99-S009 Lindeman v. OLDE Discount Corp et al 5/2/2000 99-S020 Claimant v. Dean Witter 3/13/2000 99-S024 Detiege v. Charles Schwab & Co 3/2/2000 99-S012 Olsen v. Bear, Stearns & Co et al 2/24/2000 98-S023 Currin v. Prudential Securities 2/23/2000 98-S032 Perkins v. OLDE Discount Corp et al 2/8/2000 99-S038 Chen v. Charles Schwab & Co 1/5/2000 99-S034 Wagener v. Wilson