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TATUM v. LEGG MASON WOOD WALKER, INC.

No. 95-60447.

83 F.3d 121 (1996)

Pat TATUM, as trustee for Oxford Insurance Agency, Inc. Profit Sharing Plan and Trust; Waller Funeral Home; Patricia M. Miller; Winn Walcott, M.D.; Bernie L. Smith, Jr.; Lucille J. Smith, Plaintiffs-Appellants, v. LEGG MASON WOOD WALKER, INC., Legg Mason Howard Weil Division, formerly Howard, Weil, Labouisse, Friedrichs, Inc.; J.C. Bradford and Company; Howard, Weil, Labouisse, Friedrichs, Inc., Defendants-Appellees, and Institutional Financial Services, Inc., doing business as Bernie L. Smith & Associates; Bernie L. Smith, Defendants.

United States Court of Appeals, Fifth Circuit.

May 20, 1996.

Attorney(s) appearing for the Case

Grady Franklin Tollison, III, Grady F. Tollison, Jr., Tollison Law Firm, Oxford, MS, for plaintiffs-appellants.

Charles M. Merkel, Cynthia I. Mitchell, Merkel & Cocke, Clarksdale, MS, for Legg Mason Wood Walker, Inc., Legg Mason Howard Weil Division, and Howard, Weil, Labouisse, Friedrichs, Inc., for defendants-appellees.

Claude O. Ramer, II, JC Bradford and Company, Nashville, TN, for J.C. Bradford and Company, defendant-appellee.

Before WISDOM, EMILIO M. GARZA and PARKER, Circuit Judges.

PER CURIAM:

Defendant Bernie L. Smith III ("Smith") ran a financial advising and planning business. Plaintiffs Pat Tatum, Waller Funeral Home, Patricia M. Miller, Dr. Winn Walcott, and Smith's parents — Bernie L. Smith, Jr., and Lucille J. Smith — invested funds with Smith's business. Smith originally invested these funds in stock and mutual funds. Then he began speculating in the commodities market. Smith became affiliated with Defendant Howard, Weil...

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