a N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Kim S. Bondi 96-0 1667 Name of Respondents , „ . ^^^~^^^^^^^^~ © National Association or 4k j -11 T L TV IT o c •*!. T Securities Dealers. Inc. -^Merrill Lynch Pierce Fenner & Smith Inc. Wayne Botz All Rights Reserved CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. OFFICE OF DISPUTE RESOLUTION In the Matter of Arbitration Between Gerald D. DeLuca and Rebecca L, DeLuca Claimants, and No. 96-01666 Fidelity Brokerage Services, Incorporated, FMR Corporation d/b/a Fidelity Investments, National Financial Services Corporation Respondents. , ... „ ., REPRESENTATION OF PARTIES Claimants, Gerald D. DeLuca and Rebecca L. DeLuca of Houston, Tex

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Carolyn J. Whisenant, Claimant, and No. 96-01661 Summit Brokerage Services, Inc. and Richard L. Parker, Jr. Respondents. REPRESENTATION OF PARTIES Claimant, Carolyn J. Whisenant ? was represented by W. Kirby Lockhart, Esquire of Hargis, Wood & Lockhart, located in Little Rock, Arkansas. n/.n, : Respondents, Summit Brokerage Services, Incorpo

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Mid-Atlantic Securities, Inc. John Gobble 96-01656 Name of Respondents Quaker Securities Inc. Jack A. Boye REPRESENTATION Claimants Mid-Atlantic Securities, Inc. and John Gobble were represented by Bill H. McKinnon, Esq., Cope, Olson & Yofiy, Newport News, VA. Respondent Quaker Securities, Inc. ("Quaker") was r

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