AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Albert J. Hamel and Germaine Hamel vs. Names of Respondents Brent Richards and Judith Walkowiak Case Number: 06-01841 Hearing Site: Southfield, Michigan NATURE OF THE DISPUTE Customers vs. Associated Persons REPRESENTATION OF PARTIES Albert J. Hamel and Germaine Hamel ("Claimants") appeared in pro per. Brent Richards ("Richards") and Judith

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Robert J. Slogar, Individually and as Trustee for Industrial Machinery Service of Minneapolis Employee Benefit Plan U/A 10/25/05 vs. Case Number: 05-06610 Hearing Site: Minneapolis, Minnesota Names of Respondents Merrill Lynch, Pierce Fenner & Smith, Inc. and Richard K. Lanpher NATURE OF THE DISPUTE Customers vs. Member and Associated Person

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Gregory M. Miller vs. Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 05-06605 Hearing Site: Des Moines, Iowa NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Gregory M. Miller ("Claimant") was represented by John J. Miller, Esq., Swanson Midgley, LLC, Kansas City, Missouri. Merrill

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Rom and Elaine Charmin, Charmin Medical Center, and the Estate of Rom Charmin vs. Case Number: 03-06918 Hearing Site: Indianapolis, Indiana Names of Respondents McGinn, Smith & Company, Inc., Mark C. Casolo, Frank H. Chiappone, William F. Lex, Thomas E. Livingston, Mary A. McGinn, Timothy M. McGinn, Brian E. Shea, David L. Smith, James Carroll, Jr., Ke

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Sandra A. Smith IRA, Jason E. Smith IRA, and Carrie N. Smith IRA vs. Case Number: 06-01379 Hearing Site: Indianapolis, Indiana Names of Respondents Wells Fargo Investments, LLC, Terry L. Sroufe, and Wayne Hall NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Sandra A. Smith, Jason E. Smith, and Car

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Grable and Evan Herring, Claimants v. Bank of America Corporation, Bane of America Investment Services, Inc., Kyle Delaney, Michael Conn and Alan Rappaport, Respondents Case Number: 05-04709 Hearing Site: San Francisco, California Nature of the Dispute: Associated Persons vs. Non-Member, Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Michael J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Garth Roholt, Claimant v. Morgan Stanley DW Inc., Respondent Case Number. 06-00237 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Jan Graham, Esq. Graham Law Offices Salt Lake City, Utah For Respondent: Mukya S. Porter, Esq. Morgan Stanley San Francisco, California CASE INFORMATION St

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donald L. Tasto and Jennifer F. Tasto, Trustees of the Donald L. Tasto Ph.D Profit Sharing Plan, Donald L. Tasto, IRA, Claimants v. Morgan Stanley DW Inc. and Harry J. Yesian, Respondents Case Number: 05-03071 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: John G. Appel, Jr., Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donna L. Payne, Claimant v. A.G. Edwards & Sons, Inc. and Americo J. Salvetti, Jr., Respondents Case Number: 05-01524 Hearing Site: Los Angeles. California Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: William S. Bonnheim, Esq. William S. Bonnheim, PLC Palm Desert, California For Respondents: Jeffrey A. W

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mari F. Palash and Andrea L. Palash, Claimants v. Morgan Stanley DW Inc. and Alan B. Whitman, Respondents Case Number: 05-05738 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Daniel M. Carlson, Esq. Brewer Carlson, LLP La Jolla, California For Respondents: Paul J. Schumacher, E