AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Bane of America Investment Services, Inc. vs. Case Number: 06-02161 Hearing Site: Dallas, Texas Name of Respondent Bryan Todd Smith NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Bane of America Investment Services, Inc. ("Claimant") was represented by Ronald Kane, Esq., Kane & Fischer, Ltd., Chicago, Illinois. B

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Susan Ann Johnson vs. Names of Respondents Wells Fargo Investments, LLC and Stephen Edward Kruchten Case Number. 05-06446 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Susan Ann Johnson ("Claimant") was represented by Richard I. Diamond, Esq., Richard I. Diam

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant John W. Hartsell vs. Case Number: 05-06306 Hearing Site: Troy, Michigan Name of Respondent Edward D. Jones & Co. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES John W. Hartsell ("Claimant") was represented by Samuel B. Edwards, Esq., Shepherd Smith & Edwards, L.L.P. Houston, Texas. Edward D. Jones & Co. ("Respondent") was

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Hazel Brendler, Individually and as Executrix of the Estate of Richard Brendler vs. Names of Respondents Edward D. Jones & Co., L.P. and Michael Amory Case Number: 05-05418 Hearing Site: Charleston, West Virginia NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Hazel Brendler, Individually and a

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant First Montauk Securities Corp. Names of Respondents Neil Paul Constantine Carusos Names of Third Party Respondents Gregory Neal Long David Myron McCoy Case No. 99-04000 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For First Montauk Securities Corp. ("Montauk") hereinafter referred to as "Claimant": Jon A. Jacobson, Esq

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Gerald Hallaren vs. Case Number: 05-03176 Hearing Site: Denver, Colorado Name of Respondent First Albany Capital, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Gerald Hallaren ("Claimant") was represented by Robert J. Truhlar, Esq., Truhlar & Truhlar, LLP, Centennial, Colorado. First Albany Capital, Inc. ("

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Charles P. Hammersmith, Jr. vs. Names of Respondents / Counter-Claimants / Third-Party Claimants Leerink Swann & Company, Jeffrey Alan Leerink, Case Number: 04-02773 Timothy Daniel Skelly, and Hearing Site: Chicago, Illinois Peter Francis Flynn vs. Names of Third-Party Respondents Mesirow Financial, Inc. and John A

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Garvin C. Pearce and Linda B. Pearce vs. Case Number: 05-03963 Hearing Site: Dallas, Texas Names of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc., Joseph A. Girgenti, and Suzanne Cline Boyd-Chapman NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Garvin C. Pearce and Linda B. Pe

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Garrison Clarke vs. Case Number: 03-03747 Hearing Site: Chicago, Illinois Names of Respondents Prudential Equity Group, LLC and Bonnie Schultz NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Garrison Clarke ("Claimant") was represented by Barbara A. Mallon, Esq., Mallon & Johnson, PC, Chica

AWARD NASD Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Robert W. Baird & Co., Inc. vs - Case Number 03-03671 Hearing Site: Indianapolis, Indiana Name of Respondent Douglas E. Snepler NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Robert W. Baird & Co., Inc. ("Baird" or "Claimant") was represented by Moira K. Moran, Esq., Robert W, Baird & Co., Inc., Milwaukee, Wiscon