Award NASD In the Matter of the Arbitration Between: Name of Claimant Case Number: Ted Cook, Sr. 01-02044 Names of Respondents Hearing Site: Morgan Keegan & Company, Inc. Atlanta, GA Clarence O. Paugh REPRESENTATION OF PARTIES For Ted Cook, Sr., hereinafter referred to as "Claimant": Thomas E. Baddley, Jr., Esq., Baddley & Mauro, L.L.C., Birmingham, AL. For Morgan Keegan & Company, Inc. ("MKC") and Clarence O. Paugh ("Paugh"), hereinafter

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Nazih A. Daniel 96-01655 Name of Respondents Commonwealth Associates John Michael Black, Jr. REPRESENTATION Claimant Nazih A. Daniel ("Claimant") was represented by William L. Auten, Esq., Charlotte, NC. Respondents Commonwealth Associates ("Commonwealth") and John Michael Black, Jr. ("Black") were

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Barbara Hoops-McCormack and 96-01650 Name of Respondent Smith Benton & Hughes, Inc. Michael Zaman REPRESENTATION OF PARTIES Barbara Hoops-McCormack ("Claimant") was represented by D. Elizabeth Wills, Esq^ Breriman Key & Bromberg, P.C., Denver, Colorado. - B Smith Benton & Hughes, Inc. ("Respondent SBH") and Michael Zaman ("R

NASD REGULATION, INC, OFFICE OF DISPUTE RESOLUTION ARBITRATION AWARD NASD REGULATION. INC. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant John Renato Guaglianone Naiqe of Respondent Sutro & Co., Incorporated NASD Regulation, Inc. Office of Dispute Resolution Arbitration No. 96-01642 REPRESENTATION For Claimants: For Respondents; John Guaglianone In Pro Per Michelle C. Marsh

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants William J. Thompson and Martha G. Thompson Name of Respondents Invest Financial Corporation. California Federal Bank and Rodney H. Kamps NASD Regulation, Inc. Arbitration No. 96-01635 REPRESENTATION For Claimants: For Respondents Invest Financial Corporation and Rodney H, Kamps: Daria R. Minui, Esq.

7011 AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Marvin Werner, individually and as trustee, Claimant/Counterrespondeni, No. 96-01634 William Blair & Company and Stephen E. Elkins, Reapondems/Coumerclajmanta- OF Pffi JfES Marvin Weiner, individually and as trustee ("Claimant") was represented fay John A. Ditnner HI, Sedgwick Deten Morari &. Amold;Chieago, Illinois. William Bla

AWARD NASD Regulation, Inc. Office of Dispute Resolution- , In the Matter of the Arbitration Between Name of Claimant John S. Lovett and 96-01632 Name of Respondent Investors Associates, Inc. Michael Lomec REPRESENTATION OF PARTIES John S. Lovett ("Claimant") was represented by James F. Roegge, Esq. and Jodi Mandel-Chall, Esq., Meagher & Geer, Minneapolis, Minnesota. Investors Associates, Inc. ("Respondent Investors") was represented by

AWARD MASD REGmATIQM- INC.. OFFICE OP DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant The Vintage Bank Arbitration No. 96-01631 of Respondents and Third-Party Claimants Dain Bosworth Incorporated, Clayton Brown Holding Co., Clayton Brown, and Clayton Brown & Associates Name of Third-Party Respondent Kidder, Peabody & Co. Incorporated REPRESENTATION For Third-Party Claimants: Joan M. Schroeder, Esq., Inter

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Leonard Nelson Alsfeld, Claimant, and No. 96-01627 Dickinson & Co., T. Marshall Swartwood, Thomas M. Swartwood, Elizabeth R. Ring, and Bradford J. Titus, Respondents. REPRESENTATION OF PARTIES Claimant Leonard Nelson Alsfeld was represented by Russell C. Burk,.Esquire of Denver, Colorado. Respondents Dickinson & Co., T. Marshall Swar

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Bernardi Securities, Inc. v. Name of Respondents 96-01626 J. F. Hartfield & Co., Inc.; Paine Webber Incorporated; and Kidder Peabody & Co., Inc. REPRESENTATION OF PARTIES For Claimant: Claimant Bernardi Securities, Inc. ("Bernardi") was represented by Ronald P. Bernardi of Bernardi Securities, Inc. in Chicago, Illinois. For