Other Rule Filings Incorporated by Reference
Arbitration
As of May 1, 2015, Cboe ceased to administer an arbitration program. All claims going forward will be administered by the Financial Industry Regulatory Authority, Inc. (FINRA).
- 13M002 (consolidated with 13M004)
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July 26, 2016 Craig Callahan and David Harap v. Richardo Forrer
- 12M003
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March 28, 2016 Doug Urquhart and Jason Urquhart v. VTrader Pro, LLC and Herbert C. Kurlan
- 12M002
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September 17, 2013 Ian Sassoon v. VTrader Pro, LLC
- 09M003
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November 14, 2011 Richardo Forrer, Joseph Hayes and Jacques Fernandes v. Louis Panos and Panos Trading LLC
- 10M001
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July 26, 2011 Wolverine Execution Services, LLC v. Michael Lohman
- 08M002 Award
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March 14, 2011 08M002 Arjent Capital Markets, LLC v. Marcus Dugaw
- 09M002
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October 26, 2010 MF Global, Inc. v. Michael Lohman
- 09M001
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October 5, 2010 J. David Fikejs v. John T. Lundy and JTL Investments, LLC
- 06M005
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August 11, 2009 Equitec Group, LLC v. Maple Trading, Inc. and Boris Furman
- 08M001
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May 15, 2009 Dan Cooley, Huukhanh Le, John Shiflett v. VDM Capital Markets, LLC
- 07NM001
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June 27, 2008 Customer v. Lisa Ferry Deel, Katherine M. Owens and A.G. Edwards
- 06NM001 Award
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April 11, 2008 06NM001 Howard Gimbel and Marvin Davis v. UBS Financial Services, Inc. F/k/a/ UBS PaineWebber, Inc. and Charles Nicky Bank
- 06M003
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March 8, 2008 Harrison Trading Group, Inc. v. Gregory Gentile and JAG Derivatives
- 06M004
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September 20, 2007 Centurion Securities, LLC v. Howard Chalfin
- 06M002
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June 1, 2007 Kevin Keller and Kell/Martinez, LLC v. Jason Martinez
- 05M003
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February 12, 2007 Thomas Lang v. SMC Option Management, LLC
- 06M001
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December 13, 2006 Geneva Trading LLC v. Wolverine Trading LLC
- 05M001
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December 15, 2005 File No. 05M001; Zboss Trading, LLC v. Christopher J. Figy
- 98M006
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June 16, 2005 First Options of Chicago, Inc. v. ETJ Partners, Ltd. and E. Thomas Jung
- 04M005
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May 13, 2005 O'Connor & Company, LLC v. Estate of Mark O'Brien
- 05M002
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May 6, 2005 John J. Piwowarczyk v. Marshall Spiegel
- 04M002
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November 29, 2004 LaSalle Capital Markets, L.P. Cap Mark, Inc. Kevin Flaherty, and Scott Barnes v. Michael F. Lohman
- 03M008
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May 17, 2004 Daniel M. Epstein v. Second City Trading, LLC
- 03M007
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February 25, 2004 Pax Clearing Corporation v. Michael Moore
- 02M008
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June 4, 2003 Kevin Boyle, David Snyder and Scott Snyder v. LETCO Partners, LLC, LETCO-DPM, L.P., LETCO-DPM, Inc., Lee Tenzer, John Robinson and Scott Kilrea
- 01M007
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May 30, 2003 Randall L. Swanson v. Ronald Bruder, RMB & Associates, L.P. and Bruder and Associates
- 01M004
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February 6, 2003 Okoboji Options, Inc. v. John J. Wiesner, Wiesner, Inc. and St. Soter Trading, Inc.
- 01M001
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January 29, 2003 AOT USA v. Merrill Lynch Professional Clearing Corp.
- 01M005
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January 6, 2003 Alan Zahtz and Douglas R. Kaiser v. John Streibich, Timothy C. Boyd, Timothy G. Keller and Beartooth Capital, LLC
- 02NM002
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December 18, 2002 Scott & Stringfellow, Inc. v. Joseph S. Sullivan
- 02M003
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October 25, 2002 G-Bar Limited Partnership v. Lakota Trading, Inc.
- 01M006
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May 21, 2002 JTL Investments, LLC and New Millennium Global Investments, LLC v. Marios K. Sinapoglou
- 01NM001
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March 28, 2002 Customer v. Raymond James Financial Services, Inc.
- 01NM003
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January 7, 2002 Customer v. Charles R. Federman and Tucker Anthony Incorporated
- 00NM007
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November 21, 2001 Customer v. Jeffrey I. Fried and Bruce D. Drevets
- 00NM001
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May 15, 2001 Howard A. Rubin, Individually and as Trustee v. First Options of Chicago, Inc. f/k/a/ LIT Clearing Services, Inc.
- 00NM008
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March 27, 2001 Customer v. ING (U.S.) Securities, Futures & Options Inc.
- 00M006
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March 15, 2001 Saliba Partners, LLC, John Saliba and Anthony Saliba v. LETCO Trading, L.P., Lee Tenzer, Scott Kilrea, John Robinson, Joseph Fahrenbach and Michael Riley
- 00M005
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February 1, 2001 Patrick J. Burke v. JOH Options Inc.
- 99M004
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November 9, 2000 Arauca Trading Limited Partnership, Arauca General, Inc., Stephen G. Macklem and Henry Gosiene v. Lance H. Steelman, Harold F. Baritell, Sr., John K. Turner and J&D Coals
- 00M003
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November 7, 2000 Mako Global Derivatives, LLC v. Stephen Kannaka
- 99M007
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June 28, 2000 Sean McGrath v. ING TT&S (U.S.) Securities, Inc.
- 99M006
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May 10, 2000 Thomas P. Campbell v. ING TT&S (U.S.) Securities, Inc.
- 99NM012
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April 3, 2000 Customer v. Mesirow Financial, Inc. et.al.
- 99NM006
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October 26, 1999 Customer v. Legg Mason Wood Walker, Inc. and Edwin D. Handley, Jr.
- 99NM007
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October 22, 1999 Mark A. Nosich v. ETrade Securities, Inc.
- 99NM009
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October 6, 1999 Customer v. Fidelity Brokerage Services, Inc.
- 99NM010
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September 14, 1999 Customer v. Frank E. (Pete) Pelton and Salomon Smith Barney, Inc.
- 98M011
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September 2, 1999 Sean Moran v. Robert C. Sheehan & Associates, Inc., Robert C. Sheehan and Joseph Sullivan
- 99NM005
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June 28, 1999 Customer v. Kessler Asher Group a/k/a/ Arbitrade LLC
- 98M009
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April 16, 1999 Irwin Ross v. Jeffrey Wynsma
- 98NM006
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March 25, 1999 Michel R. Louvain, MD v. Charles Schwab & Co., Inc.
- 98NM009
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December 17, 1998 John and Arlene Bengel v. Charles Schwab & Co., Inc.
- 98NM003
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November 25, 1998 Customer v. Merrill Lynch Inc., Marc Patrick Cassalina and Michael S. Kelly
- 98NM001
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November 12, 1998 Customer v. Manuel Rivero and Smith Barney, Inc.
- 98NM007
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November 2, 1998 Andre F. Christner v. Charles Schwab & Co., Inc.
- 98M003
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November 2, 1998 ADC Options v. Robert C. Sheehan and Armquest, L.P.
- 98NM005
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September 17, 1998 Customer v. Norwest Brokerage Direct
- 97M005
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May 7, 1998 George M. Dupper v. Botta Trading, Inc. and Kevin Luthringshausen
- 97NM002
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February 18, 1998 Customer v. Charles Schwab & Co., Inc. and Pamela Dick
- 96M05
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September 30, 1997 96M005 Kottke Associates, Inc. v. Joseph Hornberger
- 97M001
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September 29, 1997 Raymond James and Associates v. David Schmueck, Dennis Rowe, Brad Cartwright and ING Securities, Futures & Options Inc.
- 96NM009
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July 31, 1997 Jeffrey A. Perlewitz v. Jasen Benton and A.G. Edwards & Sons, Inc.
- 97NM003
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June 30, 1997 Jerome Daniels v. Charles Schwab & Co., Inc.
- 96NM010
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May 28, 1997 Customers v. Jon C. Porter and Prudential Securities, Inc.
- 96NM012
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April 11, 1997 Edward C. Nelson v. Prudential Securities Incorporated
- 96NM003
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February 26, 1997 Customer v. Charles Schwab & Co., Inc.
- 96M004
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December 9, 1996 LIT Clearing Services, Inc. v. Robert B. Kingsley
- 96M001
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September 13, 1996 BHNV Investments, Inc. v. Kessler-Asher Clearing L.P.
- 94NM006
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April 15, 1996 Customer v. Robert S. Shenker and Advest, Inc.
- 95M005
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January 15, 1996 James A. Druliner v. Scott Warren
- 95NM001
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December 22, 1995 Thomas W. O'Hearn v. Fidelity Brokerage Services
- 95NM008
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December 21, 1995 John Schulten v. Fidelity Investments
- 94M013
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November 7, 1995 Option Funding Group, Limited Partnership v. Sage Clearing Limited Partnership
- 95NM005
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October 4, 1995 Customer v. Steven H. Koch and ING Securities Derivatives Clearing
- 94M009
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September 27, 1995 Wagner Stott Clearing Corp. v. Reuven Avraham
- 95M001
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August 3, 1995 Laurence J. Witort v. McDonnell, Inc., Robert Bennitt, David McDonnell and Peter McDonnell
- 94NM005
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May 22, 1995 Customer v. A.G. Edwards & Sons, Inc.
- 94M012
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May 10, 1995 Mario D'Agostino v. Peter Schulte
- 94M007
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April 13, 1995 Wagner Stott Clearing Corp. v. Johann B. Garovi and Johann B. Garovi, Inc.
- 94M014
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April 3, 1995 Renee P. O'Bryan, nominee for Ernst and Company v. David W. Blank
- 94M017
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March 31, 1995 Laurence M. Ratner v. Chris Warren
- 94M010
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February 9, 1995 Alan Zahtz v. Frank Liskovec
- 94NM004
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January 23, 1995 Customer v. Margaret Maul
- 94M001
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January 13, 1995 G-Bar Limited Partnership v. Sean Purcell
- 93M007
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January 3, 1995 LIT Clearing Services, Inc. v. Howard J. Lewis
- 94M006
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December 29, 1994 Scott Turban v. Wagner Stott Clearing Corp., as successor to Securities Option Corporation
- 92NM010
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December 22, 1994 Customer v. Prudential Securities Inc., as successor to Bache Halsey Stuart & Shields, Inc.
- 92M010
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December 19, 1994 Jerome A. Foreman v. LIT America, Inc., as survivor of Rialcor/Shatkin Securities Corp., Maurice Perlstein and Richard D. Kushnir
- 94M005
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November 4, 1994 David W. Blank v. Renee P. O'Bryan
- 93M009
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August 8, 1994 LIT Clearing Services Inc. v. Al Dolnick
- 93M008
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August 5, 1994 LIT Clearing Services, Inc. v. Steven N. Smith
- 93NM004
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June 27, 1994 Raymond K. Yeates and Donna C. Yeates v. Jonny Waddle and Dean Witter Reynolds Inc.
- 92NM013
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March 1, 1994 Customer v. Charles Schwab & Co., Inc.
- 93M004
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February 22, 1994 Robert J. Katz, Marc I. Beilinson, Stephen S. Taylor, William A. Rosen, Scott Andrews, David A. Spinney, David Ofman and George Hinchcliff
- 93M003
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January 14, 1994 Gregg Sveinsson v. Mario D'Agostino, Wagner Stott Clearing Corp. and LIT America, Inc.
- 93NM003
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January 11, 1994 Grant Pyllas v. Charles Schwab & Co.
- 92NM003
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December 7, 1993 Customer v. Prudential-Bache Securities, Inc. and J. Scott Miller
- 92NM012
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October 21, 1993 Juan Pablo Cabrera v. Prudential Securities Incorporated
- 93M002
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September 16, 1993 Peter C. Lageotakes v. Rich Gabriel
- 92M011
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August 17, 1993 Dennis M. Wetzel v. John P. Fahey III and Emerald Isle Trading
- 92M004
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June 29, 1993 Ben Bernat Stein a/k/a/ Barry Stein v. Parker Stein, Inc., Ben Parker, Barbara Parker, LaSalle Street Executions, River City Options, Inc., David Zinn, Michael Kragie, Michael Kragie Options
- 92M013
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May 19, 1993 Thomas M. O'Donnell v. First Options of Chicago, Inc.
- 92NM008
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May 18, 1993 Customer v. The Chicago Corporation
- 92M015
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May 7, 1993 David S. Levinsky v. Magesty Securities Corporation/Miles A. Galin
- 92M007
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April 23, 1993 LIT America, Inc. v. Rosario V. Sbrocca
- 92M009
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February 19, 1993 Fred J. Feldkircher v. SLS Securities
- 92M008
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February 19, 1993 LIT America, Inc. v. Robert R. Hildebrand
- 92NM011
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February 1, 1993 Michael J. Taylor v. Prudential Securities, Inc. and Max Christian
- 92NM007
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February 1, 1993 Benjamin R. Michaels v. Dean Witter Reynolds, Inc., Anne Baniewilz and Kim Telfer
- 92M006
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January 27, 1993 Wagner Stott Clearing v. The Chicago Corporation
- 92NM009
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January 21, 1993 Steven J. Cholity v. Charles Schwab & Co., Inc.
- 92NM002
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September 28, 1992 Jay A. Erikson v. Shearson Lehman Hutton/Bill Aprile
- 92NM005
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August 14, 1992 Joseph DeAngelis v. Susquehanna Trading Group
- 90NM021
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July 27, 1992 Index Partners v. The Chicago Corporation
- 92NM001
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June 24, 1992 Bernard W. Brader v. Olde Discount/Robert F. Bokern, Jr.
- 91NM010
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June 23, 1992 Nelson Menda, Brenda Menda, Sender Shub, Ileana Shub v. Shearson Lehman Hutton, Inc.
- 91M025
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March 18, 1992 Wagner Stott Clearing Corp. v. Steven Himmelman & Snoman, Inc.
- 90NM030
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March 11, 1992 Customer v. LIT America, Inc. and Chicago Board Options Exchange, Inc.
- 91M021
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February 25, 1992 Redtail Leasing, Inc. v. Nicholas Santucci
- 91M003
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February 25, 1992 Mario D'Agostino v. Simon Lubershane
- 91M028
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February 20, 1992 Fenchurch Securities, Inc. v. Carlton R. McGee
- 90NM011
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February 13, 1992 Customer v. Raymond James & Associates
- 91NM011
-
February 11, 1992 Kevin Molloy v. Shearson Lehman Hutton, et al.
- 91NM008
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February 4, 1992 Customer v. Jonathan Stern
- 91NM015
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January 23, 1992 Bob Stice v. Prudential Bache Securities
- 91NM012
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January 23, 1992 Kenneth S. Leahy v. Olde & Company
- 90NM027
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October 26, 1991 Matthew and Amanda Fox v. PaineWebber, Inc.
- 91M018
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October 17, 1991 Calvin N. Sparrow v. Wagner-Stott Clearing Corporation d/b/a/ Securities Options Corp.
- 91M016
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October 17, 1991 Braden Silverman, Mike Tobin, Ken McKean v. Ronald Smith
- 91NM009
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October 10, 1991 Customer v. The Chicago Corporation
- 91M002
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October 2, 1991 LIT America, Inc. v. Thomas F. O'Shea, Jr.
- 90NM025
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August 30, 1991 Edward Chalpin v. Shearson Lehman Hutton
- 90M033
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August 29, 1991 Marc Brown v. Benjamin Parker, Parker Stein, Inc.
- 90NM024
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August 28, 1991 Amar K. Savla v. Charles Schwab & Co.
- 90M002
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August 28, 1991 Thomas McGrath (Neil McKloskey, trustee) v. Loren E. Parks
- 90M031
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August 21, 1991 LIT America, Inc. v. Brian Yale
- 91NM005
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August 20, 1991 Raymond E. Aro v. Charles Schwab & Co.
- 91M004
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August 16, 1991 LIT America, Inc. v. Michael J. Carr
- 90NM028
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August 16, 1991 Customer v. Kidder Peabody & Co.
- 90M026
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August 16, 1991 Frank DiLeonardo v. David Persichini
- 91M006
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July 25, 1991 Wellmont Securities v. Steven Beier
- 91NM003
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July 19, 1991 Seymour Spiegelman v. Daniel O'Donnell
- 91NM002
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July 19, 1991 Jacob Reichman v. Fahnestock & Co./LIT America, Inc.
- 90NM003
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July 8, 1991 Lawrence B. Riggs, Jr.,/Donna Alice Riggs v. Shearson Lehman Hutton, Inc./Nancy W. Freer
- 91M013
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July 1, 1991 Steven Ross and Alan Wallis v. David Rodgers; agent for Susquehanna Investment Group
- 91M011
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July 1, 1991 Smith Barney v. Alfred E. Dolnick
- 91M007
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June 18, 1991 First Options of Chicago, Inc. v. Wheaton Partners/Richard R. Noonan
- 90M022
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June 17, 1991 Fenchurch Securities, Inc. v. Chaim Zayer
- 90NM032
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April 27, 1991 Customer v. Charles Tall & Co.
- 91M001
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April 23, 1991 Smith Barney v. SLS Securities
- 90NM031
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April 23, 1991 Scott Swinney v. Prudential-Bache Securities
- 90NM018
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April 23, 1991 Michael Saperstone v. Gruntal & Co.
- 90M034
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March 11, 1991 H.B. Trading Corp. v. Phillip Sylvester
- 90M028
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February 15, 1991 Timber Hill, Inc. v. Patrick Dunham
- 90M018
-
January 24, 1991 J. Stephen Fossett v. Randall Tschannen, d/b/a/, First Florida Options Company
- 89M036
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January 24, 1991 Fossett Corporation v. Randall Tschannen and First Florida Options
- 89M023
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January 24, 1991 Fossett Corporation v. Randall Tschannen, Federal Capital Corporation, Dean Cluff, Serge Nelson, Richard Mack and First Florida Options Company
- 90M024
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January 23, 1991 First Options of Chicago, Inc. v. R. Hiatt Elkins, Jr.
- 90NM017
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January 8, 1991 Cowen & Co., v. Geoffrey H. Sive
- 89M022
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January 3, 1991 Fossett Corporation v. Capital Holding, Federal Capital Corporation, Dean Cluff, Michael Francis, Mary Lou Cluff and Michael D. Smith
- 90M001
-
December 27, 1990 Geldermann Securities, Inc. v. Robert J. Lehmann
- 89M025
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December 10, 1990 First Options of Chicago, Inc. v. Thomas Hargett
- 89M029
-
December 4, 1990 Petco Options Co. v. Reuben T. Reinstein, Joel R. Bronstein and Stephen Laner
- 90M013
-
November 26, 1990 Lawrence Gerber v. Daniel Billings/William Billings
- 90M014
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November 13, 1990 Fossett Corporation v. Joseph P. Treaber
- 90NM007
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November 8, 1990 Adam R. Zak v. A.G. Edwards & Sons, Inc.
- 89M021
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October 25, 1990 Fossett Corporation v. Dennis R. Moore, as nominee for G.A. "Curly" Smith, Inc., Federal Capital Corporation, Dean Cluff, Gerald A. Smith
- 90NM019
-
October 17, 1990 Customer v. PaineWebber, Inc./Virginia L. Ford
- 90NM016
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October 17, 1990 Robert A. Warren v. Prudential-Bache Securities, Inc./Daniel P. Walsh
- 90NM013
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October 17, 1990 Lloyd A. Wright v. Shearon Lehman Hutton/Keith J. Yonkers/Stuart Sixma
- 90NM012
-
October 17, 1990 Customer v. Fidelity Investments and Fidelity Brokerage Services, Inc.
- 90NM006
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October 17, 1990 David M. Durst v. Prudential-Bache Securities and Jonas Landau
- 90NM005
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October 17, 1990 Alfred N. Brown v. Charles Schwab & Co., Inc.
- 90NM004
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October 17, 1990 Merrill Lynch, Pierce, Fenner & Smith v. Customer
- 90M027
-
October 17, 1990 Wellmont Securities, L.P. v. Christopher Hansen
- 90M023
-
October 15, 1990 Henry Criz v. LIT America, Inc./Richard Cichy
- 90M016
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September 18, 1990 Michael Reaney v. Randy Terry
- 89M030
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August 10, 1990 Petco Options Co. v. Scott Casty
- 90NM010
-
August 9, 1990 Thomas M. Farrell v. Charles Schwab & Co., Inc.
- 90M011
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July 30, 1990 First Options of Chicago, Inc. v. Robert H. Bon Durant
- 90M006
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July 26, 1990 First Options of Chicago, Inc. v. Timothy Biggam
- 89M032
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July 26, 1990 First Options of Chicago, Inc. v. Ilow M. Roque and Roque Capital, Inc.
- 90M005
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July 20, 1990 Robert I. Chuckerman v. John M. Van Kampen
- 89M037
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July 12, 1990 Raymond R. Kielhack v. Scott E. Warren
- 89M033
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July 12, 1990 Petco Options Co. v. Larson Trading Partners, Vernon O. Larson and Corey Conn
- 89M018
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July 9, 1990 First Options of Chicago, Inc. v. Mark S. Brunette
- 90M004
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July 2, 1990 Craig Anderson v. Dan Frost
- 89M035
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July 2, 1990 First Options of Chicago, Inc. v. Martin S. Pinsky
- 89M019
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July 2, 1990 First Options of Chicago, Inc. v. Martin F. Doyle
- 90M003
-
June 18, 1990 Barbara O'Brien v. Donald R. Arceri
- 89M026
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June 18, 1990 First Options of Chicago, Inc. v. Kenneth C. Meyerhoff
- 89NM027
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June 15, 1990 June C. VanderVeen v. Thomson McKinnon Securities, Inc. and Keith E. Gilmore
- 90NM001
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May 7, 1990 Brian K. Smith v. Fidelity Brokerage Services
- 89NM032
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May 7, 1990 Spector v. Shearson Lehman Hutton
- 89NM028
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May 7, 1990 LoGiudice v. Thomson McKinnon/Miringhoff
- 89NM025
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May 7, 1990 Smith v. Prudential-Bache Securities
- 89NM023
-
May 7, 1990 Plant v. Fidelity Brokerage Services
- 89M020
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April 2, 1990 Oechsel v. McLaughlin