| 1 | 05-07-2013 | Paul Bagnato | N/A | N/A | N/A | N/A | $165 | N/A | Wells Fargo Advisors | Morgan Stanley Smith Barney | Mount Kisco | NY | N/A | N/A | N/A | 2013-05-03 | N/A | N/A | N/A | Christine Jockle | 914-225-6827 | Christine.Jockle@morganstanley.com | N/A | User-submitted | 2013-05-07-Paul-Bagnato | N/A |
| 1 | 05-07-2013 | Alissa N. Carloss | N/A | N/A | N/A | N/A | $135 | N/A | Stifel Nicolaus & Co. | Morgan Stanley Smith Barney | Jackson | TN | N/A | N/A | N/A | 2013-05-03 | N/A | N/A | N/A | Christine Jockle | 914-225-6827 | Christine.Jockle@morganstanley.com | N/A | User-submitted | 2013-05-07-Alissa-N-Carloss | N/A |
| 1 | 04-25-2013 | David H. Rascoe | N/A | N/A | N/A | N/A | $80 | N/A | Wells Fargo Advisors | Morgan Stanley Smith Barney | San Diego | CA | N/A | N/A | N/A | 2013-02-15 | N/A | N/A | N/A | Christine Jockle | 914 225 6827 | Christine.Jockle@morganstanley.com | N/A | User-submitted | 2013-04-25-David-H-Rascoe | N/A |
| 1 | 04-25-2013 | Thomas J. McCann Jr. | N/A | N/A | N/A | N/A | $200 | N/A | Bank of America Merrill Lynch | Morgan Stanley Smith Barney | La Jolla | CA | N/A | N/A | N/A | 2013-04-19 | N/A | N/A | N/A | Christine Jockle | 914 225 6827 | Christine.Jockle@morganstanley.com | N/A | User-submitted | 2013-04-25-Thomas-J-McCann-Jr | N/A |
| 1 | 04-25-2013 | Eric M. Behr | N/A | N/A | N/A | N/A | N/A | N/A | Deutsche Bank | Morgan Stanley Smith Barney | Boca Raton | FL | N/A | N/A | N/A | 2013-04-18 | N/A | N/A | N/A | Christine Jockle | 914 225-6827 | Christine.Jockle@morganstanley.com | N/A | User-submitted | 2013-04-25-Eric-M-Behr | N/A |
| 1 | 04-08-2013 | Robert Locco, Francis Ciocari | N/A | N/A | N/A | N/A | $200 | N/A | Bank of America Merrill Lynch | Morgan Stanley Smith Barney | Blue Bell | PA | N/A | N/A | N/A | 2013-04-05 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | User-submitted | 2013-04-16-Robert-Locco-Francis-Ciocari | N/A |
| 1 | 04-08-2013 | Robert Iocco, Francis Ciocari | N/A | N/A | N/A | N/A | $200 | N/A | Bank of America Merrill Lynch | Morgan Stanley Smith Barney | Blue Bell | PA | N/A | N/A | N/A | 2013-04-05 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 2013-04-08-Robert-Iocco-Francis-Ciocari | N/A |
| 1 | 04-08-2013 | William Seabrook, Kathleen Chiappone | N/A | N/A | N/A | N/A | $180 | N/A | Wells Fargo Advisors | Morgan Stanley Smith Barney | Orlando | FL | N/A | N/A | N/A | 2013-04-05 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 2013-04-08-William-Seabrook-Kathleen-Chiappone | N/A |
| 1 | 04-08-2013 | Paul D. Emrick, Troy Hottenstein, Scott Holland | N/A | N/A | N/A | N/A | $400 | N/A | J.P. Morgan Securities LLC | Morgan Stanley Smith Barney | Philadelphia | PA | N/A | N/A | N/A | 2013-04-05 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 2013-04-08-Paul-Emrick-Troy-Hottenstein-Scott-Holland | N/A |
| 1 | 04-08-2013 | Gaston Abello, Felix Jaimovich | N/A | N/A | N/A | N/A | $165 | N/A | Bank of America Merrill Lynch | Morgan Stanley Smith Barney | Aventura | FL | N/A | N/A | N/A | 2013-04-05 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 2013-04-08-Gaston-Abello-Felix-Jaimovich | N/A |
| 1 | 04-02-2013 | David Gordon, Kirsten Gordon | Gordon Financial Group | N/A | N/A | N/A | $300 | N/A | Wells Fargo Advisors | Morgan Stanley Smith Barney | Riverwoods | IL | N/A | N/A | N/A | 2013-03-28 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 2013-04-02-Gordon-Financial-Group | N/A |
| 1 | 04-02-2013 | Mark Pentella, Jessica Palmer | N/A | N/A | N/A | N/A | $125 | N/A | Bank of America Merrill Lynch | Morgan Stanley Smith Barney | Akron | OH | N/A | N/A | N/A | 2013-03-22 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 2013-04-02-Mark-Pentella | N/A |
| 1 | 03-05-2013 | Scott Sexton | N/A | N/A | N/A | N/A | $700 | N/A | UBS Financial Services | Morgan Stanley Smith Barney | Knoxville | TN | N/A | N/A | N/A | 2013-03-01 | N/A | N/A | N/A | Christine Jockle | N/A | Christine.Jockle@morganstanley.com | N/A | User-submitted | 2013-03-7-Scott-Sexton | N/A |
| 1 | 03-05-2013 | Roxann Romano, Anthony Catalano | N/A | N/A | N/A | N/A | N/A | N/A | UBS Financial Services | Morgan Stanley Smith Barney | New York | NY | N/A | N/A | N/A | 2013-03-01 | N/A | N/A | N/A | Christine Jockle | N/A | Christine.Jockle@morganstanley.com | N/A | User-submitted | 2013-03-7-Roxann-Romano-Anthony-Catalano | N/A |
| 1 | 02-27-2013 | Victor Camara | N/A | N/A | N/A | N/A | $100 | N/A | Bank of America Merrill Lynch | Morgan Stanley Smith Barney | Miami | FL | N/A | N/A | N/A | 2013-01-18 | N/A | N/A | N/A | Bruce Kelly | N/A | N/A | N/A | InvestmentNews | 2013-02-27-Victor-Camara | N/A |
| 1 | 02-19-2013 | Nikesh Kadakia, Jospeh Pastore, Kirk Snyder | N/A | N/A | N/A | N/A | N/A | N/A | Bank of America Merrill Lynch | Morgan Stanley Smith Barney | El Segundo | CA | N/A | N/A | N/A | 2013-02-15 | N/A | N/A | N/A | Christine Jockle | 914-225-6827 | Christine.Jockle@morganstanley.com | N/A | InvestmentNews | 2013-02-19-Nikesh-Kadakia-Joseph-Pastore-Kirk-Snyder | N/A |
| 1 | 01-07-2013 | Diane Alecci, Lynn Blanchard | The D&L Group | N/A | N/A | N/A | $500 | N/A | Bank of America Merrill Lynch | Morgan Stanley Smith Barney | Paramus | NJ | N/A | N/A | N/A | 2013-01-04 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20130107-The-DL-Group | N/A |
| 1 | 12-11-2012 | Richard Prybyl, Richard Farr, Steve Headrick | N/A | N/A | N/A | N/A | $248 | $2 | Bank of America Merrill Lynch | Morgan Stanley Smith Barney | Ithaca | NY | N/A | N/A | Dean Wallace | 2012-12-07 | N/A | N/A | N/A | Christine Jockle | 914 225-6827 | Christine.Jockle@morganstanley.com | N/A | User-submitted | 20121211-Richard-Prybyl-Richard-Farr-Steve-Headrick | N/A |
| 1 | 12-11-2012 | Nancy Buttweiler, Kristopher Schultz, David Peterson | N/A | N/A | N/A | N/A | $141 | $1 | Bank of America Merrill Lynch | Morgan Stanley Smith Barney | St. Paul | MN | N/A | N/A | Michael Junker | 2012-12-03 | N/A | N/A | N/A | Christine Jockle | 914 225-6827 | Christine.Jockle@morganstanley.com | N/A | User-submitted | 20121211-Nancy-Buttweiler-Kristopher-Schultz-David-Peterson | N/A |
| 1 | 12-03-2012 | Vince Costanzo, Rex Mack | Costanzo/Mack Team | N/A | N/A | N/A | $115 | $1 | Bank of America Merrill Lynch | Morgan Stanley Smith Barney | Cleveland | OH | N/A | N/A | Robert Hartmann | 2012-11-23 | N/A | N/A | N/A | Christine Jockle | 914 225-6827 | Christine.Jockle@morganstanley.com | N/A | User-submitted | 20121203-Costanzo-Mack-Team | N/A |
| 1 | 12-03-2012 | Howard Shallcross | N/A | N/A | N/A | N/A | $80 | $1 | Barclays Wealth | Morgan Stanley Smith Barney | Shrewsbury | NJ | N/A | N/A | Todd Sacks | 2012-11-23 | N/A | N/A | N/A | Christine Jockle | 914 225-6827 | Christine.Jockle@morganstanley.com | N/A | User-submitted | 20121203-Howard-Shallcross | N/A |
| 1 | 12-03-2012 | Brant Giere, Lisa Szucs | Giere/Szucs Team | N/A | N/A | N/A | $210 | $1 | Bank of America Merrill Lynch | Morgan Stanley Smith Barney | Akron | OH | N/A | N/A | Jason E. Haines | 2012-11-20 | N/A | N/A | N/A | Christine Jockle | 914 225-6827 | Christine.Jockle@morganstanley.com | N/A | User-submitted | 20121203-Giere-Szucs-Team | N/A |
| 1 | 12-03-2012 | Luis Fuentes, Christopher Fuentes, Rosario Hondermann | Fuentes Fuentes & Hondermann | N/A | N/A | N/A | $373 | $2 | Bank of America Merrill Lynch | Morgan Stanley Smith Barney | Miami | FL | N/A | N/A | Kevin McCarty | 2012-11-30 | N/A | N/A | N/A | Christine Jockle | 914 225-6827 | Christine.Jockle@morganstanley.com | N/A | User-submitted | 20121203-Fuentes-Fuentes-and-Hondermann | N/A |
| 1 | 11-06-2012 | Bryan Schon | N/A | N/A | N/A | N/A | $205 | $1 | Chase Investment Services | Morgan Stanley Smith Barney | Bloomfield Hills | MI | N/A | N/A | N/A | 2012-11-01 | N/A | N/A | N/A | Christine Jockle | 914-225-6827 | Christine.Jockle@morganstanley.com | N/A | User-submitted | 20121106-Bryan-Schon | N/A |
| 1 | 10-31-2012 | Cheryl Young | N/A | N/A | N/A | N/A | $221 | $2 | Raymond James | Morgan Stanley Smith Barney | Los Gatos | CA | N/A | N/A | N/A | 2012-10-26 | N/A | N/A | N/A | Christine Jockle | 914 225-6827 | Christine.Jockle@morganstanley.com | N/A | User-submitted | 20121031-Cheryl-Young | N/A |