The document provides guidance on new civil filing fee requirements in Oregon effective October 1, 2009. It details that pleadings must include the prayer amount and that fees are based on the prayer amount and number of parties. The fee calculator must be used to determine the correct fees. Fees apply differently based on whether the claim is for a monetary amount, non-monetary relief, or under $10,000. Third party complaints also have separate fee requirements.
State Compensation to Victims of Crime in Sweden UNDPhr
The document summarizes Sweden's Crime Victim Compensation and Support Authority. It established in 1994 and provides state compensation to crime victims. It administers over 10,000 applications annually, paying 98 million SEK in 2011. Victims can receive compensation for personal injuries, lost income, pain and suffering from crimes like rape, abuse, and murder. The authority also pursues claims against offenders to recoup costs, maintaining over 2,000 active payment plans despite many offenders' limited financial capacity.
Landsman represents Alex Brown of the Saints - Investment News 2010.10.28 inv...blocklandsman
An NFL player sued his former financial advisers for $3.9 million, alleging they invested his money poorly in illiquid assets like airplane hangars and life insurance products without his knowledge. The player claims he trusted the advisers, who were long-time friends, and they took advantage of that trust for their own enrichment. The advisers deny the allegations and say the player was aware of all investment decisions.
This newsletter article summarizes two main topics:
1) It discusses a new option for investors to resolve disputes with registered investment advisors (RIAs) through voluntary FINRA arbitration rather than litigation. Arbitration is typically less expensive but provides limited discovery compared to court. Lawyers must consider these factors when deciding the best forum.
2) It provides tips for firms on conducting a compliance project during the typically quieter summer market period. Suggestions include evaluating the firm's compliance program, prioritizing projects that increase efficiencies, and selecting one or two meaningful projects to focus on rather than avoiding all projects.
Block & Landsman: Judgments and settlementsblocklandsman
The document describes several legal judgments and settlements involving investment fraud at various financial firms. They include a $5 million award against Lehman Brothers for principal protected note fraud, a $1.15 million settlement for an adviser who misappropriated an elderly client's funds, and a $700,000 settlement for an adviser who engaged in a pattern of selling unsuitable investments.
Block and Landsman Award - Neuberger Bermanblocklandsman
The document discusses the benefits of exercise for mental health. Regular physical activity can help reduce anxiety and depression and improve mood and cognitive function. Exercise causes chemical changes in the brain that may help protect against mental illness and improve symptoms.
The document provides guidance on new civil filing fee requirements in Oregon effective October 1, 2009. It details that pleadings must include the prayer amount and that fees are based on the prayer amount and number of parties. The fee calculator must be used to determine the correct fees. Fees apply differently based on whether the claim is for a monetary amount, non-monetary relief, or under $10,000. Third party complaints also have separate fee requirements.
State Compensation to Victims of Crime in Sweden UNDPhr
The document summarizes Sweden's Crime Victim Compensation and Support Authority. It established in 1994 and provides state compensation to crime victims. It administers over 10,000 applications annually, paying 98 million SEK in 2011. Victims can receive compensation for personal injuries, lost income, pain and suffering from crimes like rape, abuse, and murder. The authority also pursues claims against offenders to recoup costs, maintaining over 2,000 active payment plans despite many offenders' limited financial capacity.
Landsman represents Alex Brown of the Saints - Investment News 2010.10.28 inv...blocklandsman
An NFL player sued his former financial advisers for $3.9 million, alleging they invested his money poorly in illiquid assets like airplane hangars and life insurance products without his knowledge. The player claims he trusted the advisers, who were long-time friends, and they took advantage of that trust for their own enrichment. The advisers deny the allegations and say the player was aware of all investment decisions.
This newsletter article summarizes two main topics:
1) It discusses a new option for investors to resolve disputes with registered investment advisors (RIAs) through voluntary FINRA arbitration rather than litigation. Arbitration is typically less expensive but provides limited discovery compared to court. Lawyers must consider these factors when deciding the best forum.
2) It provides tips for firms on conducting a compliance project during the typically quieter summer market period. Suggestions include evaluating the firm's compliance program, prioritizing projects that increase efficiencies, and selecting one or two meaningful projects to focus on rather than avoiding all projects.
Block & Landsman: Judgments and settlementsblocklandsman
The document describes several legal judgments and settlements involving investment fraud at various financial firms. They include a $5 million award against Lehman Brothers for principal protected note fraud, a $1.15 million settlement for an adviser who misappropriated an elderly client's funds, and a $700,000 settlement for an adviser who engaged in a pattern of selling unsuitable investments.
Block and Landsman Award - Neuberger Bermanblocklandsman
The document discusses the benefits of exercise for mental health. Regular physical activity can help reduce anxiety and depression and improve mood and cognitive function. Exercise causes chemical changes in the brain that may help protect against mental illness and improve symptoms.
In the Matter of the Arbitration Between: Walter A. Moede, Jr., Claimant v. Web Street Securities, Inc., Johnny Fiscus, and Edward McCarthy, Respondents
Claimant alleged as follows: Negligence; breach of fiduciary duty, unsuitable investments, and consumer fraud. Claimant's causes of action are in connection with technology related common stock.
Block and Landsman Award - Kappel, breach of contractblocklandsman
The panel denied all claims by Advanced Equities, Inc. against Denise Kappel and awarded Kappel $260,328 in compensatory damages, $200,000 in compensatory and punitive damages under Title VII, and $80,000 in attorney's fees. The panel assessed Advanced Equities $27,040 in total fees, with a balance due of $19,825. Kappel was due a $775 refund.
Doc1031 pay day for lynn tillotson pinker & cox $189,945.99malp2009
This document is a fourth application filed by Lynn Tillotson Pinker & Cox, LLP ("LTPC") seeking approval of attorney's fees and reimbursement of expenses from the bankruptcy estate of FirstPlus Financial Group, Inc. LTPC requests approval of $183,333.33 in attorney's fees based on its one-third contingency fee from a $550,000 settlement with Buckno Lisicky & Company, P.C. and Anthony Buczek. LTPC also requests $6,542.66 in expense reimbursements. In total, LTPC requests approval of $189,875.99 for fees and expenses incurred from May 2014 to May 2015.
Claimants asserted the following causes of action: breach of contract; negligence; and failure to transfer. The causes of action related to Claimants' investments in infinera Corp. ("INFN") [*3] through limited liability companies ("LLCs") organized by AEI that, in turn invested in INFN.
Doc1014 attorney volker going for $1 m in feesmalp2009
Lynn Tillotson Pinker & Cox, LLP ("LTPC") seeks approval of $1,000,000 in attorney fees and $2,958.01 in expenses for a total of $1,002,958.01. The fees represent LTPC's one-third contingency fee from the Trustee's $3,000,000 settlement with Olshan Frome Wolosky LLP f/k/a Olshan Grundman Frome Rozenzweig & Wolosky, LLP and David Adler. LTPC was employed as special litigation counsel and filed an adversary proceeding against Olshan, responding to motions to dismiss and ultimately reaching the settlement. The expenses are for transcripts, legal
Doc1014 attorney volker going for $1 m in feesmalp2009
Lynn Tillotson Pinker & Cox, LLP ("LTPC") seeks approval of $1,000,000 in attorney fees and $2,958.01 in expenses for a total of $1,002,958.01. The fees represent LTPC's one-third contingency fee from the Trustee's $3,000,000 settlement with Olshan Frome Wolosky LLP f/k/a Olshan Grundman Frome Rozenzweig & Wolosky, LLP and David Adler. LTPC was employed as special litigation counsel and filed an adversary proceeding against Olshan, responding to motions to dismiss and ultimately reaching the settlement. The expenses are for transcripts, legal
Fee award dollar general raymond dieppa chris wadsworthRaymond R. Dieppa
This document is a judgment ordering the defendant Dollar General to pay attorney's fees and costs to the plaintiff Michele Barry. It summarizes the background of the personal injury case, in which Barry sued Dollar General for injuries from a slip and fall in their store and was awarded $250,087 by a jury. The court found Dollar General's defense counsel engaged in unacceptable and willful misconduct by making false statements in their opening argument that directly contradicted video evidence. As a result, the court sanctioned Dollar General and its counsel under Florida statute 57.105. The court determined the attorney fees and costs requested by Barry's counsel were reasonable.
Shelter Scotland Housing Law Service – Key Issues for the Advice Sector, Lay ...shelterscotland
The document summarizes key provisions of the Home Owner & Debtor Protection (Scotland) Act 2010 relating to the enforcement of standard securities over residential property in Scotland. It outlines new pre-action requirements lenders must follow, such as attempting to resolve arrears before pursuing court action. It describes the initial court procedure and considerations if the homeowner is present or not. The court can grant the decree or refuse the application based on factors like the reasons for default and the homeowner's ability to resolve it.
John J. Pankauski is a partner with Pankauski Hauser PLLC in West Palm Beach, Florida. Mr. Pankauski has spent over 20 years of his career handling matters involving wills, trusts, estates, probates, and guardianships. His practice is limited to disputes, trials and appeals of such matters. He is AV Preeminent rated by Martindale Hubel.
This document provides information about appeals procedures, advance rulings, and settlement provisions under service tax law in India. It covers a presentation for a certificate course on indirect taxes.
The presentation discusses appellate procedures before the Commissioner (Appeals), including who can file an appeal, the timeline and process for filing, grounds for appeal, and the commissioner's powers regarding hearings, orders, and remanding cases. It also briefly mentions advance rulings and settlement provisions will be covered.
This document is a fee application cover sheet and application from Robbins Tapp Cobb & Associates, PLLC seeking approval of $122,783.48 in accounting fees and expenses for services provided to the Trustee from July 2011 to February 2012 in the Chapter 11 bankruptcy case of FirstPlus Financial Group, Inc. The application provides details of services rendered, hourly rates, fees already approved, and argues that the fees and expenses requested meet legal standards and should be approved.
This document summarizes an arbitration case between Bruce Lanzetta and several respondents. Lanzetta alleged breach of fiduciary duty, negligence, and other claims relating to private placement securities. Some respondents settled or were withdrawn from the case. The arbitrator found respondents Gregory Flemming and Lawrence Allen Banks liable by default and awarded Lanzetta $10,000 in compensatory damages, $225 to reimburse filing fees, and $300 for the paper decision fee. FINRA assessed fees to the respondents.
This document discusses arbitration and how claims are resolved through the arbitration process. It defines arbitration as a private dispute resolution process where parties agree to have their dispute decided by an independent arbitrator. Claims refer to arguments or evidence presented to support a position. In arbitration, claims can arise from single or multiple contracts, or non-contractual issues. The arbitration process involves filing a demand, selecting an arbitrator, preliminary hearings, exchanging information and evidence, a final hearing, post-hearing submissions, and a final award by the arbitrator to resolve the claims.
Washington Court Holds Stipulated Covenant Judgment Sets Minimum Amount of Da...NationalUnderwriter
Washington Court Holds Stipulated Covenant Judgment Sets Minimum Amount of Damages in Bad Faith Case. (from FC&S Legal: The Insurance Coverage Law Information Center)
Recently, Division One of the Court of Appeals of Washington State affirmed a jury verdict awarding $13 million in damages to a passenger injured in a car accident, finding that the $4.15 million agreed amount of the covenant
judgment in the insurance bad faith case sets a floor, not a ceiling, on the damages a jury can award.
In Miller v. Kenny and Safeco Ins. Co.,[1] the Court of Appeals ruled on several additional issues on appeal including whether evidence of an insurance company’s loss reserves is properly admissible at trial.
The debtor, Cordillera Golf Club, LLC, filed an application seeking approval to retain the law firm of Young Conaway Stargatt & Taylor, LLP ("Young Conaway") as its Delaware bankruptcy counsel. Young Conaway has extensive experience in bankruptcy matters and represented the debtor pre-petition. The application discloses Young Conaway's hourly rates, retention agreement with the debtor, and that the firm does not hold any interest adverse to the debtor or the bankruptcy estate. The debtor believes that retaining Young Conaway as Delaware bankruptcy counsel is in the best interests of the estate. A hearing on the application will be held on July 27, 2012.
Law Society of Singapore v Tan Phuay Khiang [2007] SGHC 83surrenderyourthrone
This document summarizes a court case from 2007 regarding a lawyer, Tan Phuay Khiang, who was accused of misconduct in his representation of clients in the sale of their home. Specifically:
1) Tan represented clients in selling their home, but prepared documents authorizing distribution of sale proceeds to parties he had previous relationships with, including ones who referred clients to him, without properly advising the clients or protecting their interests.
2) A disciplinary committee found Tan guilty of failing to advance his clients' interests, but dismissed other charges regarding specific documents.
3) The court ultimately suspended Tan from practice for two years for his misconduct in handling conflicts of interest and not protecting his clients.
In a small claims matter, a claimant representing himself lost a total of £1,262.54 at trial. The defendant was awarded costs higher than the usual maximum of £280 due to several errors made by the claimant. Specifically, the claimant (1) incorrectly named the parties, (2) attempted to rely on irrelevant areas of law, (3) failed to provide any evidence to support his claim despite court orders, and (4) tried to submit witness statements past the deadline. The judge found that the claimant failed to meet the burden of proof overall. The document advises potential small claims litigants to seek legal advice before bringing a claim themselves to avoid costly mistakes.
This document provides an introduction to lawsuits and litigation costs in Cambodia. It discusses what a lawsuit is, outlines 10 steps to take before filing one, and describes the process for filing a lawsuit. It also details the various fees involved, including registration taxes, court fees, and party costs. Registration taxes differ based on the type of case and court. Both parties are generally responsible for their own costs, and the losing party may have to pay additional litigation costs. Understanding the financial obligations is an important part of determining whether to pursue legal action.
The Dodd-Frank Act aims to overhaul rules governing brokers and their relationship with investors. It authorizes the SEC to impose fiduciary duties on brokers, requiring them to put clients' interests ahead of their own. It also allows the SEC to reform securities arbitration rules to give investors a more level playing field. This is expected to increase protections for investors and hold brokers to higher standards of care. The SEC will likely require brokers to meet the same fiduciary standard as investment advisors. It may also address issues like mandatory arbitration agreements and the inclusion of "industry arbitrators" to make the dispute resolution process fairer for investors.
In the Matter of the Arbitration Between: Walter A. Moede, Jr., Claimant v. Web Street Securities, Inc., Johnny Fiscus, and Edward McCarthy, Respondents
Claimant alleged as follows: Negligence; breach of fiduciary duty, unsuitable investments, and consumer fraud. Claimant's causes of action are in connection with technology related common stock.
Block and Landsman Award - Kappel, breach of contractblocklandsman
The panel denied all claims by Advanced Equities, Inc. against Denise Kappel and awarded Kappel $260,328 in compensatory damages, $200,000 in compensatory and punitive damages under Title VII, and $80,000 in attorney's fees. The panel assessed Advanced Equities $27,040 in total fees, with a balance due of $19,825. Kappel was due a $775 refund.
Doc1031 pay day for lynn tillotson pinker & cox $189,945.99malp2009
This document is a fourth application filed by Lynn Tillotson Pinker & Cox, LLP ("LTPC") seeking approval of attorney's fees and reimbursement of expenses from the bankruptcy estate of FirstPlus Financial Group, Inc. LTPC requests approval of $183,333.33 in attorney's fees based on its one-third contingency fee from a $550,000 settlement with Buckno Lisicky & Company, P.C. and Anthony Buczek. LTPC also requests $6,542.66 in expense reimbursements. In total, LTPC requests approval of $189,875.99 for fees and expenses incurred from May 2014 to May 2015.
Claimants asserted the following causes of action: breach of contract; negligence; and failure to transfer. The causes of action related to Claimants' investments in infinera Corp. ("INFN") [*3] through limited liability companies ("LLCs") organized by AEI that, in turn invested in INFN.
Doc1014 attorney volker going for $1 m in feesmalp2009
Lynn Tillotson Pinker & Cox, LLP ("LTPC") seeks approval of $1,000,000 in attorney fees and $2,958.01 in expenses for a total of $1,002,958.01. The fees represent LTPC's one-third contingency fee from the Trustee's $3,000,000 settlement with Olshan Frome Wolosky LLP f/k/a Olshan Grundman Frome Rozenzweig & Wolosky, LLP and David Adler. LTPC was employed as special litigation counsel and filed an adversary proceeding against Olshan, responding to motions to dismiss and ultimately reaching the settlement. The expenses are for transcripts, legal
Doc1014 attorney volker going for $1 m in feesmalp2009
Lynn Tillotson Pinker & Cox, LLP ("LTPC") seeks approval of $1,000,000 in attorney fees and $2,958.01 in expenses for a total of $1,002,958.01. The fees represent LTPC's one-third contingency fee from the Trustee's $3,000,000 settlement with Olshan Frome Wolosky LLP f/k/a Olshan Grundman Frome Rozenzweig & Wolosky, LLP and David Adler. LTPC was employed as special litigation counsel and filed an adversary proceeding against Olshan, responding to motions to dismiss and ultimately reaching the settlement. The expenses are for transcripts, legal
Fee award dollar general raymond dieppa chris wadsworthRaymond R. Dieppa
This document is a judgment ordering the defendant Dollar General to pay attorney's fees and costs to the plaintiff Michele Barry. It summarizes the background of the personal injury case, in which Barry sued Dollar General for injuries from a slip and fall in their store and was awarded $250,087 by a jury. The court found Dollar General's defense counsel engaged in unacceptable and willful misconduct by making false statements in their opening argument that directly contradicted video evidence. As a result, the court sanctioned Dollar General and its counsel under Florida statute 57.105. The court determined the attorney fees and costs requested by Barry's counsel were reasonable.
Shelter Scotland Housing Law Service – Key Issues for the Advice Sector, Lay ...shelterscotland
The document summarizes key provisions of the Home Owner & Debtor Protection (Scotland) Act 2010 relating to the enforcement of standard securities over residential property in Scotland. It outlines new pre-action requirements lenders must follow, such as attempting to resolve arrears before pursuing court action. It describes the initial court procedure and considerations if the homeowner is present or not. The court can grant the decree or refuse the application based on factors like the reasons for default and the homeowner's ability to resolve it.
John J. Pankauski is a partner with Pankauski Hauser PLLC in West Palm Beach, Florida. Mr. Pankauski has spent over 20 years of his career handling matters involving wills, trusts, estates, probates, and guardianships. His practice is limited to disputes, trials and appeals of such matters. He is AV Preeminent rated by Martindale Hubel.
This document provides information about appeals procedures, advance rulings, and settlement provisions under service tax law in India. It covers a presentation for a certificate course on indirect taxes.
The presentation discusses appellate procedures before the Commissioner (Appeals), including who can file an appeal, the timeline and process for filing, grounds for appeal, and the commissioner's powers regarding hearings, orders, and remanding cases. It also briefly mentions advance rulings and settlement provisions will be covered.
This document is a fee application cover sheet and application from Robbins Tapp Cobb & Associates, PLLC seeking approval of $122,783.48 in accounting fees and expenses for services provided to the Trustee from July 2011 to February 2012 in the Chapter 11 bankruptcy case of FirstPlus Financial Group, Inc. The application provides details of services rendered, hourly rates, fees already approved, and argues that the fees and expenses requested meet legal standards and should be approved.
This document summarizes an arbitration case between Bruce Lanzetta and several respondents. Lanzetta alleged breach of fiduciary duty, negligence, and other claims relating to private placement securities. Some respondents settled or were withdrawn from the case. The arbitrator found respondents Gregory Flemming and Lawrence Allen Banks liable by default and awarded Lanzetta $10,000 in compensatory damages, $225 to reimburse filing fees, and $300 for the paper decision fee. FINRA assessed fees to the respondents.
This document discusses arbitration and how claims are resolved through the arbitration process. It defines arbitration as a private dispute resolution process where parties agree to have their dispute decided by an independent arbitrator. Claims refer to arguments or evidence presented to support a position. In arbitration, claims can arise from single or multiple contracts, or non-contractual issues. The arbitration process involves filing a demand, selecting an arbitrator, preliminary hearings, exchanging information and evidence, a final hearing, post-hearing submissions, and a final award by the arbitrator to resolve the claims.
Washington Court Holds Stipulated Covenant Judgment Sets Minimum Amount of Da...NationalUnderwriter
Washington Court Holds Stipulated Covenant Judgment Sets Minimum Amount of Damages in Bad Faith Case. (from FC&S Legal: The Insurance Coverage Law Information Center)
Recently, Division One of the Court of Appeals of Washington State affirmed a jury verdict awarding $13 million in damages to a passenger injured in a car accident, finding that the $4.15 million agreed amount of the covenant
judgment in the insurance bad faith case sets a floor, not a ceiling, on the damages a jury can award.
In Miller v. Kenny and Safeco Ins. Co.,[1] the Court of Appeals ruled on several additional issues on appeal including whether evidence of an insurance company’s loss reserves is properly admissible at trial.
The debtor, Cordillera Golf Club, LLC, filed an application seeking approval to retain the law firm of Young Conaway Stargatt & Taylor, LLP ("Young Conaway") as its Delaware bankruptcy counsel. Young Conaway has extensive experience in bankruptcy matters and represented the debtor pre-petition. The application discloses Young Conaway's hourly rates, retention agreement with the debtor, and that the firm does not hold any interest adverse to the debtor or the bankruptcy estate. The debtor believes that retaining Young Conaway as Delaware bankruptcy counsel is in the best interests of the estate. A hearing on the application will be held on July 27, 2012.
Law Society of Singapore v Tan Phuay Khiang [2007] SGHC 83surrenderyourthrone
This document summarizes a court case from 2007 regarding a lawyer, Tan Phuay Khiang, who was accused of misconduct in his representation of clients in the sale of their home. Specifically:
1) Tan represented clients in selling their home, but prepared documents authorizing distribution of sale proceeds to parties he had previous relationships with, including ones who referred clients to him, without properly advising the clients or protecting their interests.
2) A disciplinary committee found Tan guilty of failing to advance his clients' interests, but dismissed other charges regarding specific documents.
3) The court ultimately suspended Tan from practice for two years for his misconduct in handling conflicts of interest and not protecting his clients.
In a small claims matter, a claimant representing himself lost a total of £1,262.54 at trial. The defendant was awarded costs higher than the usual maximum of £280 due to several errors made by the claimant. Specifically, the claimant (1) incorrectly named the parties, (2) attempted to rely on irrelevant areas of law, (3) failed to provide any evidence to support his claim despite court orders, and (4) tried to submit witness statements past the deadline. The judge found that the claimant failed to meet the burden of proof overall. The document advises potential small claims litigants to seek legal advice before bringing a claim themselves to avoid costly mistakes.
This document provides an introduction to lawsuits and litigation costs in Cambodia. It discusses what a lawsuit is, outlines 10 steps to take before filing one, and describes the process for filing a lawsuit. It also details the various fees involved, including registration taxes, court fees, and party costs. Registration taxes differ based on the type of case and court. Both parties are generally responsible for their own costs, and the losing party may have to pay additional litigation costs. Understanding the financial obligations is an important part of determining whether to pursue legal action.
The Dodd-Frank Act aims to overhaul rules governing brokers and their relationship with investors. It authorizes the SEC to impose fiduciary duties on brokers, requiring them to put clients' interests ahead of their own. It also allows the SEC to reform securities arbitration rules to give investors a more level playing field. This is expected to increase protections for investors and hold brokers to higher standards of care. The SEC will likely require brokers to meet the same fiduciary standard as investment advisors. It may also address issues like mandatory arbitration agreements and the inclusion of "industry arbitrators" to make the dispute resolution process fairer for investors.
Landsman article - the effect of laughlin v. evanston hospital 1997.06blocklandsman
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Laurence Landsman interview 2001.02.28 usa today (viaticals)blocklandsman
An elderly couple invested a significant portion of their net worth in a viatical life insurance deal through an agent they trusted. However, their money was turned over to an escrow agent that was later accused of misappropriating millions of dollars from investors. While the agent who sold them the investment lost money as well and felt badly about their situation, over half of the couple's original investment was unable to be accounted for due to the collapse of the companies involved. Viatical investments carry high risks and seniors were warned to thoroughly research companies before investing.
सुप्रीम कोर्ट ने यह भी माना था कि मजिस्ट्रेट का यह कर्तव्य है कि वह सुनिश्चित करे कि अधिकारी पीएमएलए के तहत निर्धारित प्रक्रिया के साथ-साथ संवैधानिक सुरक्षा उपायों का भी उचित रूप से पालन करें।
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Guide on the use of Artificial Intelligence-based tools by lawyers and law fi...Massimo Talia
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Sangyun Lee, 'Why Korea's Merger Control Occasionally Fails: A Public Choice ...Sangyun Lee
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Defending Weapons Offence Charges: Role of Mississauga Criminal Defence LawyersHarpreetSaini48
Discover how Mississauga criminal defence lawyers defend clients facing weapon offence charges with expert legal guidance and courtroom representation.
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Receivership and liquidation Accounts
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1. 7 of 20 DOCUMENTS
AWARD
NASD REGULATION, INC.
In the Matter of the Arbitration Between Michael R. Fumo, Claimant
v.
Access Financial Group, Inc., Respondent
CASE NO. 02-02524
2004 NASD Arb. LEXIS 3349
November 18, 2004
COUNSEL:
[*1] Alan F. Block, Esq., of the firm Block & Landsman located in Chicago, Illinois represented Claimant Michael R.
Fumo (Fumo).
Jennifer M. Tryzna, Esq., in-house counsel for Access Financial Group, Inc., located in Chicago, Illinois. Gregg
Rzepczynski, Esq., of the firm Bevilacqua & Rzepczynski, PC located in Chicago, Illinois also represented Respondent
Access Financial Group. Inc., (Access Financial).
CASE-INFORMATION:
Claimant filed the Statement of Claim on or about April 30, 2002. Claimant Fumo signed the Uniform Submission
Agreement on April 19, 2002.
Respondent filed a Statement of Answer on July 16, 2002 and signed the Uniform Submission Agreement on July 28,
2002.
Respondent filed a Motion for Leave to File Third-Party Complaint on or about August 27, 2004. Claimant filed a
Response on September 13, 2004.
HEARING-DOCKET:
Hearing Site: Chicago, Illinois
NATURE OF THE DISPUTE: Customer v. Member Firm
CASE-SUMMARY:
Claimant Fumo asserted the following causes of action: failure to execute, breach of fiduciary duty, and negligence.
The causes of action relate to the U.S. Tobacco stock.
Unless specifically admitted in its Answer, Respondent denied the allegations made in the Statement of Claim and
asserted the following [*2] defenses: the claim is barred by the doctrines of estoppel and ratification; Respondent acted
in good faith and at no time acted intentionally, negligently or recklessly; Claimant had full knowledge of all material
facts and did not rely on any act or omission allegedly made by the Respondents; and any loss Claimant suffered was
caused by his own conduct.
RELIEF-REQUESTED:
Claimant Fumo requested compensatory damages in the amount of $ 250,000.00, interest, attorney's fees, costs, and any
Page 1
2. such relief the Panel deems just and equitable.
Respondent requested denial and dismissal of claims.
OTHER-ISSUES:
In an order dated September 21, 2004 the Panel denied Respondent's Motion for Leave to File a Third-Party Complaint.
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. Access Financial Group, Inc., is solely liable for and shall pay to Michael R. Fumo the sum of $ 215,625.00 for
failure to execute order.
2. Access Financial Group, Inc., is solely liable for and shall pay to Michael R. Fumo the sum of $ 13,200.00 for lost
dividends.
3. Access Financial Group, Inc., is solely [*3] liable for and shall pay to Michael R. Fumo the sum of $ 1,875.00 for
disgorgement of the principal trades.
4. Except for the forum fees associated with this matter, which are specified herein, the parties shall bear their own
costs, including attorney's fees.
5. Any and all relief not specifically addressed herein, including punitive damages, is denied.
FORUM-FEES:
Pursuant to the Code, the following fees are assessed:
Filing Fees
NASD Dispute Resolution will retain or collect the non-refundable filing fees for each claim:
Initial claim filing fee = $ 300.00
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, Access Financial, as a party, is
assessed the following fees:
Member surcharge = $ 1,700.00
Pre-hearing process fee = $ 750.00
Hearing process fee = $ 2,750.00
Total = $ 5,200.00
Adjournment Fees
Adjournments granted during these proceedings for which fees were assessed:
Page 2
2004 NASD Arb. LEXIS 3349, *2
3. Claimant requested adjournment of the February 27-28, 2003 hearing dates
= $ 1,125.00
The parties [*4] jointly requested adjournment of the June 17-18, 2003 hearing dates
= $ 1,125.00
Respondent requested adjournment of the February 10-11, 2004 hearing dates
= $ 1,125.00
Forum Fees and Assessments
The Panel has assessed forum 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:
Three (3) Pre-hearing sessions
with Panel at $ 1,125.00 = $ 3,375.00
Pre-hearing conferences: November 1, 2002 1 session
September 15, 2003 1 session
September 21, 2004 1 session
Seven (7) Hearing sessions at $ 1,125.00 = $ 7,875.00
Hearing Dates: October 19, 2004 2 sessions
October 20, 2004 2 sessions
October 21, 2004 2 sessions
October 22, 2004 1 session
Total Forum Fees = $ 11,250.00
The Panel assessed $ 11,250.00 of the forum fees to Access Financial Group, Inc.
FEE SUMMARY
Claimant Michael R. Fumo is solely liable for:
Initial Filing Fee = $ 300.00
Adjournment Fee = $ 1,687.50
Total Fees = $ 1,987.50
Less payments = $ 1,425.00
Balance Due NASD Dispute Resolution = $ 562.50
[*5]
Respondent Access Financial is solely liable for:
Member Fees = $ 5,200.00
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4. Adjournment Fee = $ 1,687.50
Forum Fees = $ 11,250.00
Total Fees = $ 18,137.50
Less payments = $ 5,200.00
Balance Due NASD Dispute Resolution = $ 12,937.50
All balances are payable to NASD Dispute Resolution and are due upon receipt pursuant to Rule 10330(g) of the Code.
ARBITRATORS:
Concurring Arbitrators: Bernard B. Bell, Public Arbitrator, Presiding Chairperson; Gus E. Glick, Public Arbitrator;
Joseph D. Savino, Non-Public Arbitrator
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2004 NASD Arb. LEXIS 3349, *5