Award FINRA Office of Dispute Resolution
|
|
- Allison Perkins
- 6 years ago
- Views:
Transcription
1 Award FINRA Office of Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: Whitman B. Evans VS. Respondents Morgan Stanley Smith Barney, LLC and Charles Alan Correa! Hearing Site: Pittsburgh, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person This case was decided by an all-public panel. REPRESENTATION OF PARTIES For Claimant Whitman B. Evans ("Claimant" or "Evans"): Michael J. Betts, Esq., Post & Schell, P.C., Pittsburgh, Pennsylvania. For Respondents Morgan Stanley Smith Barney, LLC ("Morgan Stanley") and Charles Alan Correal ("Correal"), hereinafter collectively referred to as "Respondents": Chan H. Nam, Esq., Morgan Stanley, New York, New York. CASE INFORMATION Statement of Claim filed on or about: December 16, Evans signed the Submission Agreement: December 16, Statement of Answer filed by Respondents on or about: March 10, Morgan Stanley signed the Submission Agreement: March 10, CASE SUMMARY Claimant asserted the following causes of action: breach of fiduciary duty, violation of the Pennsylvania Unfair Trade Practices and Consumer Protection Law, suitability violations, professional negligence, breach of contract, breach of the duty of good faith and fair dealing, failure to supervise, respondeat superior, and vicarious liability. Claimant alleged that Respondents invested his retirement assets in a highly aggressive and reckless manner, which was not suitable for his age and risk tolerance. Unless specifically admitted in their Statement of Answer, Respondents denied the allegations made in the Statement of Claim and asserted various affirmative defenses.
2 Award Page 2 of 5 RELIEF REQUESTED In the Statement of Claim, Claimant requested: Compensatory Damages (in excess of) $290, Punitive Damages Unspecified Treble Damages (in excess of) $580, Attorneys Fees Unspecified Other Costs Unspecified Other Monetary Relief Unspecified In the Statement of Answer, Respondents requested that the claims asserted against them be denied in their entirety. Correal requested expungement of all references to this matter from his registration records maintained by the Central Registration Depository ("CRD"). OTHER ISSUES CONSIDERED AND DECIDED The Arbitrators acknowledge that they each read the pleadings and other materials filed by the parties. Correal did not file with FINRA Office of Dispute Resolution a properly executed Submission Agreement, but is required to submit to arbitration pursuant to the Code of Arbitration Procedure ("Code") and, having answered the claim, appeared, and testified at the hearing, is bound by the determination of the Panel on all issues submitted. On or about April 15, 2016, the parties filed a Joint Request to Forgo the Initial Pre- Hearing Conference (IPHC"). On or about October 26, 2016, Respondents filed a Motion in Limine to Bar Testimony of former clients of Correal. At the hearing, this motion was rendered moot by Claimant's assurances that such witnesses, if called at all, would be called to testify as rebuttal witnesses and not as part of Claimant's case-in-chief. The witnesses were not called to testify. At the final hearing, which was recorded, the Panel heard oral argument and evidence on Correal's request for expungement. Claimant contested the request for expungement. The Panel reviewed the BrokerCheck Report for Correal. In recommending expungement the Panel relied upon the following documentary or other evidence: the testimony of Claimant and Correal. The Panel concluded that the registered person provided the more credible account of events and Claimant's risk tolerance, preferred investments, and associated risks. The parties have agreed that the Award in this matter may be executed in counterpart copies or that a handwritten, signed Award may be entered.
3 Award Page 3 of 5 AWARD After considering the pleadings, the testimony and evidence presented at the hearing, the Panel has decided in full and final resolution of the issues submitted for determination as follows: 1. Claimant's claims, each and all, are hereby denied. 2. The Panel recommends the expungement of all references to the above-captioned arbitration from registration records maintained by the CRD, for Respondent Charles Alan Correal (CRD # ), with the understanding that, pursuant to Notice to Members 04-16, Respondent Charles Alan Correal must obtain confirmation from a court of competent jurisdiction before the CRD will execute the expungement directive. Unless specifically waived in writing by FINRA, parties seeking judicial confirmation of an arbitration award containing expungement relief must name F1NRA as an additional party and serve FINRA with all appropriate documents. Pursuant to Rule of the Code, the Panel has made the following Rule 2080 affirmative finding of fact: The registered person was not involved in the alleged investment-related sales practice violation, forgery, theft, misappropriation, or conversion of funds. The Panel has made the above Rule 2080 finding based on the following reasons: The Panel determined that the allegation that Correal had committed the alleged investment-related sales practice violations was not supported by credible evidence. Correal performed in a manner consistent with the client's stated wishes of "investment growth." The client did not regard this as a retirement account. 3.Other than forum fec.s, which are eporsifiad below, the parties shnll Parth hear their own costs and expenses incurred in this matter. 4. Any and all claims for relief not specifically addressed herein, including punitive damages, treble damages, and attorneys fees, are denied. FEES Pursuant to the Code, the following fees are assessed: Filing Fees FINRA Office of Dispute Resolution assessed a filing fee* for each claim: Initial Claim Filing Fee =$ 1,725.00
4 Award Page 4 of 5 *The filing fee is made up of a non-refundable and a refundable portion. Member Fees Member fees are assessed to each member firm that is a party in these proceedings or to the member firm that employed the associated person at the time of the events giving rise to the dispute. Accordingly, as a party, Morgan Stanley Smith Barney, LLC is assessed the following: Member Surcharge =$ 2, Member Process Fee =$ 5, Hearing Session Fees and Assessments The Panel has assessed hearing session fees for each session conducted. A session is any meeting between the parties and the arbitrators, including a pre-hearing conference with the arbitrators, that lasts four (4) hours or less. Fees associated with these proceedings are: Six (6) hearing $1,300.00/session =$ 7, Hearing Dates: November 15, sessions November 16, sessions November 17, sessions Total Hearing Session Fees =$7, The Panel has assessed $3, of the hearing session fees to Claimant Whitman B. Evans. The Panel has assessed $3, of the hearing session fees to Respondent Morgan Stanley Smith Barney, LLC. All balances are payable to FINRA Office of Dispute Resolution and are due upon receipt.
5 Award Facie 5 of 5 ARBITRATION PANEL, Presiding Chairperson I, the undersigned Arbitrator, do hereby affirm that I am the individual described herein and who executed this instrument, which is my award. Concurring Arbitrators Signatures /s/ November 25, 2016, Presiding Chairperson /s/ November 25, 2016 /s/ November 25, 2016 November 25, 2016 Date of Service (For FINRA Office of Dispute Resolution office use only)
6 Arbitration No, Award Page 5 of 5 ARBITRATION PANEL, Presiding Chairperson l, the undersigned Arbitrator, do hereby affirm that I am the individual described herein and who executed this instrument, which is my award. Concurring Arbitrators Signatures, Presiding Chairperson Date of Service (For F1NRA Office of Dispute Resolution office use only)
7 'F1NRA Office of Dispute Resolution Award.1)?_ge 5 of 5 ARBITRATION PANEL, Presiding Chairperson I, the undersigned Arbitrator, do hereby affirm that l am the individual described herein and who executed this instrument, which is my award. Concurring Arbitrators Signatures Public Arbitrato, Presiding Chairperson M. Thevenet S Da e of Service (For F1NRA Office of Dispute Resolution office use only)
8 in ijp of Dispute Resolution ArbiLiition No Award Pao6 5 of 5 ARBITRATION PANEL, Presiding Chairperson l, the undersigned Arbitrator, do hereby affirm that l am the individual described herein and who executed this instrument, which is my award. Concurring Arbitrators Signatures Pyblic Arbitrator, Presiding Chairperson 'MU man' M. Thevenet Public' Arbitrator,2 5/07-p/6 Signature ate Date of Service (For FINRA Office of Dispute Resolution office use only)
Award FINRA Office of Dispute Resolution
Award FINRA Office of Dispute Resolution In the Matter of the Arbitration Between: Claimant Lisa Pola Case Number: 17-01020 vs. Respondents Morgan Stanley Robert Lee Perry Hearing Site: Los Angeles, California
More informationAward FINRA Dispute Resolution
Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant William Freas Case Number: 14-03775 vs. Respondent Rockwell Global Capital LLC Hearing Site: Philadelphia, Pennsylvania
More informationAward FINRA Office of Dispute Resolution. Hearing Site: New York, New York Credit Suisse Securities (USA) LLC
Award FINRA Office of Dispute Resolution In the Matter of the Arbitration Between: Claimant Nicholas Brine Finn Case Number: 17-01277 vs. Respondent Hearing Site: New York, New York Credit Suisse Securities
More informationAward FINRA Dispute Resolution. Claimant Case Number: Karl Austin Pettijohn REPRESENTATION OF PARTIES
Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 15-01376 Karl Austin Pettijohn vs. Respondent Robert Berra Hearing Site: Los Angeles, California Nature of
More informationAward FINRA Office of Dispute Resolution. Hearing Site: Miami, Florida Citigroup Global Markets, Inc. Michael R. Averett
Award In the Matter of the Arbitration Between: Claimant Christian S. Gherardi Case Number: 16-01001 vs. Respondents Hearing Site: Miami, Florida Citigroup Global Markets, Inc. Michael R. Averett Nature
More informationAward FINRA Office of Dispute Resolution
Award In the Matter of the Arbitration Between: Claimant Case Number: vs. Respondent Cetera Advisor Networks LLC Hearing Site: Honolulu, Hawaii Nature of the Dispute: Associated Person vs. Member REPRESENTATION
More informationAward FINRA Office of Dispute Resolution. Hearing Site: Houston, Texas Raymond, James & Associates, Inc. and UBS Financial Services Inc.
Award In the Matter of the Arbitration Between: Claimant Case Number: vs. Respondent Hearing Site: Houston, Texas Raymond, James & Associates, Inc. and UBS Financial Services Inc. Nature of the Dispute:
More informationAward FINRA Office of Dispute Resolution. Hearing Site: New York, New York First Republic Securities Company, LLC
Award FINRA Office of Dispute Resolution In the Matter of the Arbitration Between: Claimant Christopher Herridge Rusk Case Number: 16-03411 vs. Respondent Hearing Site: New York, New York First Republic
More informationAward FINRA Dispute Resolution
Award FINRA Dispute Resolution in the Matter of the AriDitration Between: Claimants Estate of Margaret Cwirico vs. Respondents Morgan Stanley & Co., incorporated Case Number: 09-06320 Hearing Site: Newark,
More informationRECEiVED. WELLINGTON SHIELDS & Co. LLC MEMBER NEW YORK STOCK EXCHANGE FEB 2 21U8
RECEiVED WELLINGTON SHIELDS & Co. LLC MEMBER NEW YORK STOCK EXCHANGE FEB 2 140 BROADWAY NEW YORK, NY 0005 21U8 FINRA Office of the Corporate Secretary TEL: (2 i 2) 732-6800 TEL: (212) 320-3000 FAX: (212)
More informationAward FINRA Office of Dispute Resolution
Award In the Matter of the Arbitration Between: Claimant Case Number: vs. Respondent AXA Advisors, LLC Hearing Site: Denver, Colorado Nature of the Dispute: Associated Person vs. Member REPRESENTATION
More informationAward FINRA Dispute Resolution
Award In the Matter of the Arbitration Between: Claimants Bruce A. Wilkerson and Antoinette M. Wilkerson, Individually and as Trustees of the Wilkerson Family Education Trust, Laura A. Wilkerson Trustee
More informationAward NASD Dispute Resolution
In the Matter of the Arbitration Between: Award Names of the Claimants Simon Frija and Ann M. Frij a Ten. by Ent. Ann Margaret Frija, TTEE of/for Ann Margaret Frija Declaration Trust FBO Ann Margaret Frija
More informationAward FINRA Office of Dispute Resolution
Award FINRA Office of Dispute Resolution In the Matter of the Arbitration Between: Claimants Dr. Luis E. Cummings AKA Luis E. Cummings- Carrero; Oriental Bank & Trust as TTEE for LECC Living & Grantor
More informationAWARD FINRA Dispute Resolution. vs. Case Number: Hearing Site: Chicago, Illinois Names of Respondents NATURE OF THE DISPUTE
In the Matter of the Arbitration Between: Names of Claimants AWARD FINRA Dispute Resolution Louis Bosco, Annette Bosco, The Bosco Family Trust DTD 7/31/96, by its Trustees Louis and Annette Bosco, The
More informationAttached is the Award in Wachovia Securities v. Brucker, Case no for discussion in the Employment Break-Out Section at the Annual Meeting.
MALECKI LAw 11 BROADWAY, SUITE 715 NEW YORK NEW YORK 10004 (212) 943-1233 TELEPHONE (212) 943-1238 FACSIMILE }ENICE L. MALECKI AsSOCIATE JULIE K, MATHEW Notes, Expungement & Good Faith and Fair Dealing:
More informationAward FINRA Office of Dispute Resolution
Award In the Matter of the Arbitration Between: Claimants Jacob Zabara and Zabara Family 2012 Irrevocable Trust UAD 12/27/12 Jacob Zabara TTEE Case Number: 15-00304 vs. Respondent FMSBonds, Inc. Hearing
More informationAward FINRA Dispute Resolution REPRESENTATION OF PARTIES
Award In the Matter of the Arbitration Between: Peter Tocco (Claimant) vs. Walter J. Dowd, Inc. (Respondent) Case Number: 08-01828 Hearina Site: New York. New York Nature of the Dispute: Associated Person
More informationAward FINRA Dispute Resolution
Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Clalmant/Counter-Respondent UBS Financial Services Inc. Case Number: 10-05701 vs. ResDondent/Counter-Claimant James Scott Cave Hearing
More informationAward FINRA Dispute Resolution
Award In the Matter of the Arbitration Between: Claimante R.L. Wagner Tmst-Richard Wagner Trustee Richard Wagner Donna E. Wagner Case Number. 10-03743 vs. Respondents Walter Ernesto Dolhare Alan Thomas
More informationAward FINRA Dispute Resolution
Award In the Matter of the Arbitration Between: Claimant Jerry Camilli Case Number: 13-02122 VS. Respondents Enver Rahman Alijaj JHS Capital Advisors, LLC Hearing Site: Albuquerque, New Mexico Nature of
More informationCase 3:15-cv GNS Document 1 Filed 08/19/15 Page 1 of 3 PageID #: 1 UNITED STATES DISTRICT COURT WESTERN DISTRICT OF KENTUCKY LOUISVILLE DIVISION
Case 3:15-cv-00681-GNS Document 1 Filed 08/19/15 Page 1 of 3 PageID #: 1 UNITED STATES DISTRICT COURT WESTERN DISTRICT OF KENTUCKY LOUISVILLE DIVISION VAUGHAN SCOTT, Movant, VS. Civil Action No. 15-cv-
More informationAward FINRA Dispute Resolution
Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-02259 Lesmir. Inc., d/b/a Rosen Properties and Rosen- Hari30ttle Commercial Real Estate North Creek Enterprises,
More informationAward FINRA Dispute Resolution. Santanu Bhattacharya and Gargi Dasgupta (Claimants) vs. Chicago Investment Group LLC and Mitesh Shere (Respondents)
Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Santanu Bhattacharya and Gargi Dasgupta (Claimants) vs. Chicago Investment Group LLC and Mitesh Shere (Respondents) Case Number:
More informationAward FINRA Dispute Resolution
Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant William Francis Garbarino Case Number: 09-04736 vs. Respondents Raymond James Financial Services, Inc. Nutmeg Investment
More informationAward NASD Dispute Resolution
In the Matter of the Arbitration Between: Award Name of the Claimant Case Number: 04-01034 Edwin Rand Names of the Respondents Citigroup Global Markets, Inc. JackB. Grubman Hearing Site: Boca Raton, FL
More informationAward NASD Dispute Resolution
Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-04857 Robert Wolk and Dorothy Wolk, Trustees of the Wolk Living Trust Names of the Respondents
More information1. Please indicate the nature of the initial claim that was filed. Note: AP is the abbreviation for Associated Person. Member vs.
Updated October 2017 Award Information Sheet Case Number: To prepare an award, FINRA Office of Dispute Resolution needs certain information from the panel. After the panel has reached a decision, please
More informationAward NASD Dispute Resolution
In the Matter of the Arbitration Between: Award Names of the Claimants Case Number: 04-05690 Sylvia Purisch Arthur Purisch Ttee FBO Sylvia Purisch Rev Trust Arthur Purisch, IRA Arthur Purisch Ttee FBO
More informationAward FiNRA Dispute Resolution
Award FiNRA Dispute Resolution In the Matter ofthe Arbitration Between: Claimant Purnima Dilip Shah Case Number: 11-02677 vs. Respondent BBVA Securities of Puerto Rico, Inc. Hearing Site: San Juan, Puerto
More informationAward FINRA Dispute Resolution
Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Lymane Rivera Diaz Nelson Ramos Irizarry Case Number: 14-00442 VS. Respondents Carlos Freire-Borges Ramiro Luis Colon,
More informationAward FINRA Dispute Resolution
Award In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04256 Jose A. Rivera Names of the Respondents Galleon Merchant Banking n/k/a Granite Associates, Inc. James Morrell
More informationAward NASD Dispute Resolution
In the Matter of the Arbitration Between: Award Names of the Claimants Case Number: 04-02478 Patricia R. Yellen, for the benefit of her IRA Barry B. Yellen, for the benefit of his IRA Cinetel Corporation,
More informationAward FINRA Dispute Resolution
Award FINRA Dispute Resolution In the Matter of the Arbitration Between: NameoftheCiainrtant Case Number: 08-01035 Lanfear Capital Advisers, LLC Name of the Respondents Global Crown Capital, LLC Rani Tarek
More informationUpdated October 1, 2018
Updated October 1, 2018 Award Information Sheet Case Number: To promptly prepare the award, FINRA needs certain information from the panel. Please make every effort to send this form to your case administrator
More informationAward FINRA Office of Dispute Resolution
Award FINRA Office of Dispute Resolution In the Matter of the Arbitration Between: Claimants Victor M. Gomez, Jr. and Socorro Horta, in their respective personal capacities and as representatives of the
More informationAward NASD Dispute Resolution, Inc.
Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Mamft nf Claimant Stephen B.Sawtelle r>f 1? Case No. 97-03642 (Master Case - Consolidated for hearing with 99-05327) Waddell
More informationAWARD FINRA DISPUTE RESOLUTION CASE #: 15-02865 Jay R. Simon vs. Aegis Capital Corp., Robert Jay Eide, Kevin C. Meade, Nicholas Francis Milano, Anthony Michael Monaco, Sr., Jonathan Edward Rago, George
More informationAWARD NASD Dispute Resolution REPRESENTATION OF PARTIES. CASEINFORl\1ATION
". AWARD NASD Dispute Resolution In the Matter ofthe Arbitration Between Name ofclaimants Anil and Sudha Agarwal and Name ofrespondents 97-01842 Omaha, Nebraska Euro-Atlantic Securities, Inc. James St.
More informationAward FINRA Dispute Resolution
01/13/2012 18:44 FAX 3015274788 FINRA DR ~007/018 Award In the Matter of the Arbitration Between: Claimants Case Number: 09-06962 ADKO Investors, LLC Alan C. Dadd as Trustee of the Alan C. Dadd Family
More informationMay 21, By Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC
May 21, 2012 By Email (pubcom@finra.org) Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: FINRA Regulatory Notice 12-18, Request for Comment on
More informationAward FINRA Dispute Resolution
Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 14-00170 Juan Burgos Rosado vs. Respondents UBS Financial Services, Inc. UBS Financial Services Incorporated
More informationMerrill Lynch, Pierce, Fenner & Smith Inc. v Financial Indus. Regulatory Auth., Inc NY Slip Op 30017(U) January 5, 2016 Supreme Court, New York
Merrill Lynch, Pierce, Fenner & Smith Inc. v Financial Indus. Regulatory Auth., Inc. 2016 NY Slip Op 30017(U) January 5, 2016 Supreme Court, New York County Docket Number: 162259/15 Judge: Kathryn E. Freed
More informationFINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059393201 TO: RE: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Daniel Todd Levine,
More informationFINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEF?ANCE, WAIVER AND CONSENT NO
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEF?ANCE, WAIVER AND CONSENT NO. 2014043628201 TO: RE: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RBC Capital Markets,
More informationRegulatory Notice 17-42
Regulatory Notice 17-42 Expungement of Customer Dispute Information FINRA Requests Comment on Proposed Amendments to the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute
More informationSUPERIOR COURT OF CALIFORNIA, COUNTY OF LOS ANGELES Civil Division Central District, Stanley Mosk Courthouse, Department 36
APPEARANCES: For Plaintiff(s): Michael O. Azat, Esq.; Issa Y. Azat, Jr., Esq. For Defendant(s): Stanley H. Kimmel, Esq. NATURE OF PROCEEDINGS: Jury Trial COURT TRIAL IN PROGRESS Trial resumes from 12/14/18
More informationInvestment Consulting Agreement
Moloney Securities Co., Inc. Registered Broker/Dealer Registered Investment Advisor Member FINRA Member SIPC Member MSRB 13537 Barrett Parkway Dr., Suite 300, Manchester, MO 63021 (314) 909-0600 Investment
More informationTHE WASHINGTON COUNTY BAR ASSOCIATION FEE DISPUTE COMMITTEE RULES FOR PROCESSING AND CONDUCT OF FEE DISPUTE
THE WASHINGTON COUNTY BAR ASSOCIATION FEE DISPUTE COMMITTEE RULES FOR PROCESSING AND CONDUCT OF FEE DISPUTE 1. Agreement of Parties: These Rules shall apply whenever both of the parties have agreed to
More informationNFA Arbitration: Resolving Customer Disputes
NFA Arbitration: Resolving Customer Disputes Contents Why arbitration? 2 What does it cost to arbitrate? 4 What is NFA Arbitration? 6 Glossary of terms 17 National Futures Association (NFA) is a self-regulatory
More informationFINRA Dispute Resolution Arbitrator Training. Motions to Dismiss Training Module Release Date August 2010 (Rule Effective Date February 23, 2009)
FINRA Dispute Resolution Arbitrator Training Motions to Dismiss Training Module Release Date August 2010 (Rule Effective Date February 23, 2009) Introduction to Motions to Dismiss In this training module
More informationFINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20180587198-01 TO: RE: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Howard R. Utz, Respondent
More informationNon-Discretionary IA Services Client Services Agreement
Non-Discretionary IA Services Client Services Agreement THIS INVESTMENT ADVISORY SERVICES AGREEMENT, the ( Agreement ), dated this day of, 20, is by and between FSC Securities Corporation, ( FSC ), a registered
More informationAward FINRA Dteputo Resolution
Award FINRA Dteputo Resolution In ttie Matter of ttie Arbitration Between: Cteimante Case Number. 08-04049 Nornian Christiansen Elten Christianaon Respondente Morgan Keegan & Company, inc. William F.Wolbrecht
More informationBelow is the text of the proposed rule change. Proposed new language is underlined; proposed deletions are in brackets. * * * * *
Below is the text of the proposed rule change. Proposed new language is underlined; proposed deletions are in brackets. Text of Proposed FINRA Rules 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES
More informationSETTLEMENT AGREEMENT AND MUTUAL RELEASE. WHEREAS, MFD conducted an investigation into claims submitted by Dr. Nathan during
SETTLEMENT AGREEMENT AND MUTUAL RELEASE THIS SETTLEMENT AGREEMENT AND MUTUAL RELEASE ( Settlement Agreement ) is entered into on this 18th day of September, 2017 ( Effective Date ) by and between Michael
More informationFILED: NEW YORK COUNTY CLERK 09/08/ :24 AM INDEX NO /2017 NYSCEF DOC. NO. 3 RECEIVED NYSCEF: 09/08/2017
SUPREME COURT OF THE STATE OF NEW YORK COUNTY OF NEW YORK ------------------------------------------------------------------------X EFCO PRODUCTS DEFINED CONTRIBUTION NON-UNION PLAN, EFCO PRODUCTS DEFINED
More informationMUTUAL OPERATIONS PROTOCOL FOR ENFORCING GOVERNING DOCUMENTS TABLE OF CONTENTS
MUTUAL OPERATIONS 7585.05 PROTOCOL FOR ENFORCING GOVERNING DOCUMENTS TABLE OF CONTENTS ENFORCEMENT PROCEDURE... 2 ALLEGED VIOLATION REPORT.,,,,.4 NOTICE OF INTENT TO IMPOSE DISCIPLINE... 5 PROCEDURE FOR
More informationNATIONAL FUTURES ASSOCIATION. Arbitration Claim
A Claimant is the person who believes he is owed money. For a joint account, everyone who is listed on the account should be named as a Claimant. For a partnership, corporation or other entity, the entity
More informationTRONOX TORT CLAIMS TRUST. Individual Review and Arbitration Procedures for Category A and Category D Personal Injury Claims
TRONOX TORT CLAIMS TRUST Individual Review and Arbitration Procedures for Category A and Category D Personal Injury Claims Pursuant to Sections 3.4 and 3.5 of the Tronox Tort Claims Trust Distribution
More informationHolzer & Holzer, LLC ATTORNEYS AT LAW
2. Holzer & Holzer, LLC ATTORNEYS AT LAW 1200 Ashwood Parkway, Suite 410 Atlanta, GA 30338 770.392.0090 (ph) 770.392.0029 (fax) 888.508.6832 (toll free) www.holzerlaw.com PRIVILEGED ATTORNEY-CLIENT COMMUNICATION
More informationNotice to Members. Expungement. Executive Summary. Questions/Further Information
Notice to Members MARCH 2004 SUGGESTED ROUTING Legal & Compliance Registered Representatives Senior Management INFORMATIONAL Expungement NASD Adopts Rule 2130 Regarding Expungement of Customer Dispute
More informationOperate the recorder. There are no off the record conversations between the parties and yourself. Record the entire proceeding!
Updated as of March 27, 2017 Hearing Procedure Script Single Arbitrator Case The hearing procedures set forth below may, in the discretion of the arbitrator, be varied provided all parties are allowed
More informationNational Patent Board Non-Binding Arbitration Rules TABLE OF CONTENTS
National Patent Board Non-Binding Arbitration Rules Rules Amended and Effective June 1, 2014 TABLE OF CONTENTS Important Notice...3 Introduction...3 Standard Clause...3 Submission Agreement...3 Administrative
More informationRules of the Legal Fee Arbitration Board of the Massachusetts Bar Association As Amended and Effective September 1, 2012
Rules of the Legal Fee Arbitration Board of the Massachusetts Bar Association As Amended and Effective September 1, 2012 20 West Street Boston, MA 02111-1218 TELEPHONE (617) 338-0500 FAX (617) 338-0550
More informationFINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057494201 TO: RE: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Donna Lynn Barnard,
More informationFORM 8-K. CROWN HOLDINGS, INC. (Exact name of registrant as specified in its charter)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event
More informationFILED: NEW YORK COUNTY CLERK 08/22/ :01 AM INDEX NO /2017 NYSCEF DOC. NO. 25 RECEIVED NYSCEF: 08/22/2017
SUPREME COURT OF THE STATE OF NEW YORK COUNTY OF NEW YORK -------------------------------------- ----------------- X GENESIS REOC COMPANY, LLC, JAZZ REAL TY II, LLC, individually and on behalf of, GENESIS
More informationREQUEST FOR ARBITRATION
IN THE MATTER OF AN ARBITRATION UNDER THE ARBITRATION RULES OF THE LONDON COURT OF INTERNATIONAL ARBITRATION BETWEEN: [NAME OF CLAIMANT] (CLAIMANT) -AND- [NAME OF RESPONDENT] (RESPONDENT) REQUEST FOR ARBITRATION
More informationFEE DISPUTE RESOLUTION COMMITTEE RULES OF PROCEDURE I. APPOINTMENT AND ORGANIZATION OF THE COMMITTEE
FEE DISPUTE RESOLUTION COMMITTEE RULES OF PROCEDURE I. APPOINTMENT AND ORGANIZATION OF THE COMMITTEE A. This Committee, and its Chair, shall consist of Attorneys who are trained in Mediation, and/or Arbitration,
More informationTEXT AMENDMENT APPLICATION
TEXT AMENDMENT APPLICATION 98 East Third Street Manteno, IL 60950 815-929-4800 Revised 1/15 APPLICATION INSTRUCTIONS FOR A TEXT AMENDMENT Please read and follow all instructions carefully! 1. APPLICATION
More informationRealogy Holdings Corp. Realogy Group LLC
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event
More informationICDR INTERNATIONAL CENTRE FOR DISPUTE RESOLUTION ARBITRATION RULES
APPENDIX 3.8 ICDR INTERNATIONAL CENTRE FOR DISPUTE RESOLUTION ARBITRATION RULES (Rules Amended and Effective June 1, 2009) (Fee Schedule Amended and Effective June 1, 2010) Article 1 a. Where parties have
More informationFINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO 2013038710502 TO: RE: Department of Enforcement Financial Industry Regulatory Authority (?FINRA") Carl W Busch General
More informationARBITRATION RULES. Commercial Brokers Association
ARBITRATION RULES 1. Conduct of Hearings. All hearings shall be conducted in accordance with these Rules, and any procedures and forms approved by the Board of Directors. 2. Small Claims. All disputes
More informationSUBMISSION AGREEMENT
SUBMISSION AGREEMENT Title of Submitted Material: below]) (the Material [as such term is defined Submitter (Please print name clearly): (the Submitter or I ) Pursuant to the official rules (the Official
More informationArchipelago Trading Services, Inc.
Archipelago Trading Services, Inc. Connection Agreement The undersigned ( User ), as a condition and in consideration of being permitted to connect to the over-the-counter equity securities technology
More informationNASD CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES
NASD CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES As of September 10, 2008 2 TABLE OF CONTENTS Part I Interpretive Material, Definitions, Organization, and Authority IM-13000. Failure to Act Under
More informationQualified Retirement Plan Setup Form
Qualified Retirement Plan Setup Form Use this form to gather all of the information required to setup a Qualified Plan account and if the Plan permits, individual employee participant sub-accounts online,
More informationIndependent Arbitration Scheme for the Chartered Institute of Management Accountants (CIMA)
Independent Arbitration Scheme for the Chartered Institute of Management Accountants (CIMA) 2007 Edition 1 Introduction 1.1 The Independent Arbitration Scheme for the Chartered Institute of Management
More informationThese rules shall be known as the Local Rules for Columbia and Montour Counties, the 26 th Judicial District, and shall be cited as L.R. No.
BUSINESS OF THE COURT L.R. No. 51 TITLE AND CITATION OF RULES These rules shall be known as the Local Rules for Columbia and Montour Counties, the 26 th Judicial District, and shall be cited as L.R. No.
More informationUNIT CORPORATION (Exact Name of Registrant as Specified in Its Charter)
As filed with the Securities and Exchange Commission on October 6, 2006 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER
More informationReturn form to: THE FLORIDA BAR Fee Arbitration Program 651 East Jefferson Street Tallahassee, FL
FEE ARBITRATION PROGRAM OF THE FLORIDA BAR AGREEMENT TO ARBITRATE APPLICATION INSTRUCTIONS The Florida Bar encourages parties to attempt resolution of a dispute over legal fees in an amicable manner whenever
More informationREQUEST FOR ARBITRATION
IN THE MATTER OF AN ARBITRATION UNDER THE RULES OF THE INTERNATIONAL COURT OF ARBITRATION OF THE INTERNATIONAL CHAMBER OF COMMERCE BETWEEN: [NAME OF CLAIMANT] (CLAIMANT) -AND- [NAME OF RESPONDENT] (RESPONDENT)
More informationJAMS International Arbitration Rules & Procedures
JAMS International Arbitration Rules & Procedures Effective September 1, 2016 JAMS INTERNATIONAL ARBITRATION RULES JAMS International and JAMS provide arbitration and mediation services from Resolution
More informationWills and Trusts Arbitration RULES
Wills and Trusts Arbitration RULES Effective September 15, 2005 Introduction Standard Arbitration Clause Administrative Fees Wills and Trusts Arbitration Rules 1. Incorporation of These Rules into a Will
More informationJune 2018 Edition. FINRA Office of Dispute Resolution Party s Reference Guide
June 2018 Edition FINRA Office of Dispute Resolution Party s Reference Guide Table of Contents This booklet contains important information about FINRA Office of Dispute Resolution (ODR) services, policies,
More informationCase No HO ORDER (1) APPROVING SETTLEMENT WITH SETTLING BROKERS and (2) ENTERING FINAL CLAIMS BAR ORDER AND INJUNCTION
STEPHEN S. WALTERS (OSB No. 80120) DAVID R. ZARO (California Bar No. 124334) FRANCIS N. SCOLLAN (BAR NO. 186262) ALLEN MATKINS LECK GAMBLE MALLORY & NATSIS LLP Three Embarcadero Center, 12th Floor San
More informationUNITED STATES DISTRICT COURT MIDDLE DISTRICT OF TENNESSEE NASHVILLE DIVISION
UNITED STATES DISTRICT COURT MIDDLE DISTRICT OF TENNESSEE NASHVILLE DIVISION WILLARD REED KELLY, ) ) Plaintiff, ) ) v. ) Case No. 3:15-cv-1110 ) Judge Aleta A. Trauger MORGAN STANLEY SMITH BARNEY, ) LLC;
More informationCOMPLAINTS. Table of Contents
COMPLAINTS COMPLAINTS Table of Contents Model Complaint for State Law Violations... 6 Model Complaint for City Ordinance Violations... 7 Model Application for Citizen Complaint... 8 Editor s Note: Sample
More informationNOTICE OF ARBITRATION
IN THE MATTER OF AN ARBITRATION UNDER THE HONK KONG INTERNATIONAL ARBITRATION CENTRE ADMINISTERED ARBITRATION RULES BETWEEN: [NAME OF CLAIMANT] (CLAIMANT) -AND- [NAME OF RESPONDENT] (RESPONDENT) NOTICE
More informationIn the Matter of the Arbitration between. Claim One: Violation of Electronic Funds Transfer Act - Unauthorized Transactions
AMERICAN ARBITRATION ASSOCIATION In the Matter of the Arbitration between Case Number: 01-16-0001-1601 Jannah Rasul -vs- UniRush, LLC and MetaBank AWARD OF ARBITRATOR I, Laurel G Yancey, THE UNDERSIGNED
More informationGRAY, L.L.C. 760 ROUTE 10 WEST, SUITE 203 WHIPPANY, NEW JERSEY PH: F: Attorneys for Plaintiff S.P., a fictitious name
POMPELIO, FOREMAN & GRAY, L.L.C. 760 ROUTE 10 WEST, SUITE 203 WHIPPANY, NEW JERSEY 07981 PH: 973-240-7313 F: 973-240-7316 Attorneys for Plaintiff S.P., a fictitious name S. P., a fictitious name, vs. Plaintiff,
More informationSection 19(b)(3)(A) * Section 19(b)(3)(B) * Section 19(b)(2) * Rule. 19b-4(f)(1) 19b-4(f)(2) (Title *)
OMB APPROVAL Required fields are shown with yellow backgrounds and asterisks. OMB Number: 3235-0045 Estimated average burden hours per response...38 Page 1 of * 38 SECURITIES AND EXCHANGE COMMISSION WASHINGTON,
More informationCOURT OF APPEALS OF OHIO, EIGHTH DISTRICT. EBBETS PARTNERS, LTD. : : Plaintiff-Appellee : JOURNAL ENTRY : -vs- : AND : RONALD FOSTER : OPINION
[Cite as Ebbets Partners, Ltd. v. Foster, 2002-Ohio-6324.] COURT OF APPEALS OF OHIO, EIGHTH DISTRICT COUNTY OF CUYAHOGA NO. 80728 EBBETS PARTNERS, LTD. : : Plaintiff-Appellee : JOURNAL ENTRY : -vs- : AND
More informationDocket Number: 1150 GREEN CONSTRUCTION COMPANY. Paul A. Logan, Esquire (co-counsel) CLOSED VS.
Docket Number: 1150 GREEN CONSTRUCTION COMPANY Paul A. Logan, Esquire (co-counsel) VS. COMMONWEALTH OF PENNSYLVANIA DEPARTMENT OF TRANSPORTATION John J. Robinson, Jr., Chief Claims Attorney 1 October 2,
More informationNON-PRECEDENTIAL DECISION - SEE SUPERIOR COURT I.O.P
NON-PRECEDENTIAL DECISION - SEE SUPERIOR COURT I.O.P. 65.37 THAI DUC LUU IN THE SUPERIOR COURT OF PENNSYLVANIA v. THAO THI NGUYEN AND EMMA KIM-AHN NGUYEN AND KHUE KIM NGUYEN APPEAL OF: EMMA KIM NGUYEN
More informationNEW YORK STOCK EXCHANGE LLC LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO
NEW YORK STOCK EXCHANGE LLC LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017-06-00020 TO: RE: New York Stock Exchange LLC IMC Financial Markets, Respondent CRD No. 104143 During the period August 25,
More informationNAM EMPLOYMENT RULES AND PROCEDURES DEMAND FOR ARBITRATION/ARBITRATION REQUEST FORM FOR EMPLOYEES
Employment Rules and Procedures 990 Stewart Avenue, First Floor Garden City, NY 11530 Telephone: 1-800-358-2550 Fax: 516-794-8971 www.namadr.com NAM EMPLOYMENT RULES AND PROCEDURES DEMAND FOR ARBITRATION/ARBITRATION
More informationDOCKET NO.: HEARING DATE : SIR: at nine o clock in the forenoon or as
LAW OFFICES OF MYRON D. MILCH, PC Continental Plaza III 433 Hackensack Avenue Second Floor Hackensack, N. J. 07601 Tel. (201) 342-2868 Fax (201) 342-7391 NJ Attorney ID no. 269021971 Attorney for Plaintiff
More information