Award NASD Regulation, Inc. In die Matter of the Arbitration Between: Thomas Sherck and Tami White, Claimants vs. lissa Searfoss and Royal Alliance Associates, Inc., Respondents. Consolidated Case Numbers: 99-00645 & 99-00686 Hearing Site: San Francisco, Califomia REPRESENTATION OF PARTIES Claimants, Thomas Sherck ("Sherck") and Tami White ("White"), hereinafter collectively referred to as "Claimants": Linda Stoick, Esq., San Francisco, Califomia Resp

Award NASD In the Matter of the Arbitration Between: Name of tiie CJaimairt C^e Number 99-03281 Bernard H. Butts Consolidated wifli 99-03887 Names of the Respondents Hearing Site: Boca Raton, FL Birchtree Financial Sorices, Inc. David C. Wilson In the Matter of the Arbitration Between: Name of tiie Claimant Case Number: 99-03887 Birchtree Financial Services, Inc. Consolidated with 99-03281 Name of the Resoondent Hearing Site: Boca Raton, FL

Award NASD Regulation, Inc. In the Nbtter of the Arbitration Between: EUiot Dufour vs. Merrill Lynch Pierce Fenner & Smith, Inc. Case Number: 99-U3823 Hearing Site: Houston. Texas (Consolidated with Merrill Lynch Pierce Fcimct & Smith, Inc. vs. Elliott Dufour and PaineWebber, Inc. Case Number 99-03849) REPRESENTATION OF PARTIES Elliot Dufour ('T)ufour") and PaineWebber, Inc. ("PaineWebber"): Bradley Whalen, Esq. and Nfordn Sadler, Esq., Doyle, Rider,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: First Montauk Securities Corp. (Claimant) v. Andrew Sirico (Respondent) Case Number: 02-03762 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant First Montauk Securities Corp. hereinafter referred to as "Claimant": Joel Levinson, Esq., First Montauk Securities Corp., Red Bank, NJ. Respondent Andrew Sirico here

NASD Dispttte Resoluttom In Matter of the AAitration Between: Nicholas Zecchino Jr. and DoBato Zecchko (Claimaiits) v. Quest CapM Strategies, Inc., Northeast Seciuities, foe, Richard A, Skinner m RAS Financial Services, an ttnincorporated entity, David Yu, Carol Tsei a/k/a C^l Yu, Joyce Lubhem, National Financial Services Corporation, and Bear Steams Securities Corp. (Respondents) md Nicholas and Anita Lupo, Dino Famese, Rocco GencwelM, Gencarelli's Bakery, R

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Emest L. Coffindaffer Robert N. Rector Linda J. Tragemann Nancy M. Dotson 4Jiidf^X40hnson Kimberly L. Stouffer-Staddon vs. Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. Case No. 00-02169 Name of Claimant Merrill Lynch Pierce Fenner & Smith, Inc. vs. Name of Respondents Pmdential Securities, Inc. Emest L.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Matthew Ehrlich (Claimant) v. UBS Financial Services, Inc. fk/a UBS Paine Webber, Inc. and Joseph M. Hubbell (Respondents) Case Number: 02-03760 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Matthew Ehrlich ("Ehrlich") hereinafter referred to as "Claimant": David S. Hammer, Esq., The Law Offi

NAHCANAL ASSCXAAf lON OL SLCURITILS DLALERS - DISPUTL; RESOLUTION. INC. 1 i j »I . i \ ' 1 J I * ^ I % 1 1 I > Av • I NFW YORK, NLW YORK ( HRi'>TLAN P. BROKHK. BRY AN A! ANCY, WlLi J AM J CjlLLlAAN. JR.. JLfY li, (iULDBLRG. MK i!A! L MARI LNO. (iLORGL NIKOLAKAKOS. ( m K: PA i : h RSON, CESAR ROMAN, JUERGEN -V HIMANNTJR . .lOSEPH M. SUGRANES, JR. and \^ \lA hR IRiNIUAlY Claimants, - teainst - S G. NLAR l IN SLCURITIES LLC, STEPHEN D

N.\ ilONAL ASSOilAl'lON OF .SLiCURrri!:,S DLALERS - DlSPlJTt- RHSOLUTION, INC. • t \ t ft • r. » I /1 * i 1 i # I * I I , i / I "i i It/;* i ( HRiS 1 IAN P. BR()K!;R. BRYAN Vi ANCY, •fL-,!AM MK HAt ! MAR'IiNO. GhORGt; NlKOl.AKAKOS. ( AU ij ]>\\ i FRS( )N. CI SAR ROMAN, JUERGEN TPA/HT^XVV jKTTi'^ShPTrYl, SUGRANES, JR. aiid W AiA li'R I RINIDAD. Claimants, itiiainst - S (A MXRTIN SriCl. Rf i ihS LLC. S I FPHFN Dm S'CllFR and Ktmi RARON.

Award NASD Diipute Resolution, Ittc. In the Matter of the Arbitration Between I Name ^ of Claimant Interstate/Johnson Lane Corporation n/k/a Wachovia Securities, Inc* Case No, 98-00142 Names of Respondents Robert L. Gregory, Jr. Carol Ann D. Gregory In the Matter of the Arbitration Between Robert Gregory, Jr. Carol Ann D. Gregory Case No, 0(M)0894 Patrick Thomas McShea Wachovia Secmrities, IIM:. f/k/a Interstate/Johnson