Case 3:08-cv-03141-WHA
Document 26
Filed 07/07/2008
Page 1 of 2
1
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GEORGE L. GUERR, CASB No. 158263 FOWLER WHITE BOGGS BANKER P.A. 501 E. Kennedy Blvd., Suite 1700 Tampa, Florida 33602
Tel: (813) 228-7411
4
5
Fax: (813) 229-8313 Email: george.guerra~fowlerwhite.com
6 7
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Attorney for Defendant DOUGLAS GREEN
UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF CALIFORNIA CIVIL DIVISION
PERSHING LLC,
) CASE NO. CV-08-3141 WHA
)
9
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Plaintiff,
vs.
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) ) ) )
DECLARATION OF GEORGE L. GUERR IN SUPPORT OF MOTIONS FOR PROTECTIVE ORDER AND FOR DISSOLUTION OF EX-PARTE ORDER
CROCKER SECURITIES LLC and DOUGLAS GREEN,
Defendants.
14
15
) GRATING TRO, ORDER TO SHOW ) CAUSE AND EXPEDITED DISCOVERY ) AND TO COMPEL ARBITRATION
) )
16 17 18
I, George L. Guerra, declare:
1. I am over the age of 18' and licensed to practice law in California and Florida.
19
2. Attached as Exhibit A is a true and correct copy of
Plaintiff Pershing LLC's Form
20
21
BD (Uniform Application for Broker-Dealer Registration) with FINRA on which it clearly
discloses that it is a FINRA member.
22
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3. Atttached as Exhibit B is a true and correct copy of the home page of Plaintiff
Pershing LLC's web site on which it clearly discloses that it is a FINRA member.
24
25
1
Declaration of George Guerra in Support of
Motions Case 3:08-cv-3141 WHA
Case 3:08-cv-03141-WHA
Document 26
Filed 07/07/2008
Page 2 of 2
1
4. Atttached as Exhibit C is a true and correct copy of the of Defendant Crocker
2
3
Securities' Form BD (Uniform Application for Broker-Dealer Registration) with FINRA on
which it clearly discloses that it too is a FINRA member.
4
5
5. Atttached as Exhibit D is a true and correct copy of the home page of Defendant
Crocker Securities' web site on which it clearly discloses that it is a FINRA member.
6
I declare under penalty of perjury under the laws of the United States and the States of
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California and Florida that the foregoing is true and correct.
Executed this 7th day of July, 2008 at Tampa, Florida.
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13
Ge rge Guerra, Esq, CASB 158263 FOWLER WHITE BOGGS BANKER P .A. 501 East Kennedy Boulevard, Suite 1700
Tampa, FL 33602-5200
Telephone: 813-228-7411
Fax: 813-229--8313
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Counsel for Defendant Douglas Green
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2
Declaration of George Guerra in Support of
Motions Case 3:08-cv-3141 WHA
Case 3:08-cv-03141-WHA Document 26-2 Filed 07/07/2008 Web CRD - BD Historical Filing)) All Pages (User Name: gelose, Orgil: 50018J
Page 1 of 100
Page 1 of 190
FORM BD UNIFORM APPLICATION FOR BROKER-DEALER REGISTRATION
prim~Buslness Name: PERSHING LLC
BD Number: 7560
06 02 2008 .
I
B~ f~ ~~,ENDMENT .
SO ~ APPLICANT INFORMATION
I I
10MB Number ...................... .......... ..................3235-0012 Expires....... ...............................................September 30, 2007
Estimated average burden hours per:
Response.........................................................2.75 Amendment......................................................0.33
iW~RNING:Faiiure to keep thIs Form current and to fie accurate supplementary InFormation on a
timely basis, or the Failure to keep accurate books and records or otherwise to comply
disciplinary, administratIve, Injunctive or criminal action. INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS MAY CONSTITUTE CRIMINAL VIOLATIONS.
I
with the provisions of law applying to the conduct of business as a broker-dealer would violate the Federal securitIes laws and the laws of the jurisdictons and may result In
o APPLICATION G: AMENDMENT
I
1. Exact name, principal business address, mailing address, iF different, and telephone number of applicant:
A. Full name of applicant(if sole proprietor, state last, first and middle name):
PERSHING LlC
S. IRS Empl. Ident. No.: 13-2741729
~. (1) Name under which broker-dealer business primarily is conducted, If diFFerent from Item
lA.
PERSHING LLC
(2) LIst on Schedule D, Page 1, SectIon I, other BusIness Names any other name by which the
firm conduct business and where It is used.
D. If thIs filing makes a name change on behalf of the applicant, enter the new name and specify
- whether the name change is of the
Dapplicant name (lA) or Dbusiness name (lC):
Please check above.
E. Firm main address: (Do not use a P.O. Box)
--City:
F,
Number and Street 1: ONE PERSHING PlAA
Number and Street 2:
state:
New Jersey
.Country:
--
Zip7PostarCoae:
07399
JERSEY CIT
UNITED STATES
Maiing Address, if different:
Number and Street 1:
ONE PERSHING PLAZA
Number and Street 2:
City: JERSEY em
State:
New Jersey
Country:
USA
Zip/Postal Code:
07399
G. Business Telephone Number: 201-413-2000 . H. Contact Employee:
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Name: gelose, OrgI: 50018J
Name:
RICHARD IZZO
I
Title:
VICE PRESIDENT
Telephone Number: 201-413-2130
I
SO - EXECUTION
EXECUTION: For the purposes of complying with the laws of the State(s) designated in Item 2 relatIng to either
the offer or sale of securities or commodities, the undersigned and applicant hereby certify that the
applicant is in compliance wIth applicable state surety bonding requirements and irrevocably appoint
the administrator of each of those State(s) or such other person designated by law, and the
successors in such offce, attorney For the applicant In saId State(s), upon whom may be served any notice, process, or pleading in any action or proceeding against the applicant arising out of or In connection with the offer or sale of securities or commodities, or out of the violatIon or alleged violation of the laws of those State(s), and the applicant hereby consents that any such action or proceeding against the applicant may be commenced In any court of competent jurisdIction and
proper venue within saId State(s) by service of process upon said appoIntee wIth the same effect as If applicant were a resident In said State(s) and had lawfully been served wIth process in said State (s).
The applfcant consents that servIce of any civl actIon brought by or notIce of any proceeding before
the Securities and Exchange Commission or any self-regulatory organization In connectIon with the
applicants broker-dealer activities, or of any applicatIon For a protective decree filed by the
Securities Investor Protection Corporation, may be given by registered or certified mail or conFirmed telegram to the applicants contact employee at the main address, or mailing address iF different,
given In Items lE and 1F.
The undersigned, being First duly sworn, deposes and says that he/she has executed this Form on
behalf of, and with the authority of, said applicant. The underSigned and applicant represent that the
information and statements contained herein, including exhibIts attached hereto, and other inFormation filed herewith, all of whIch are made a part hereoF, are current, true and complete. The undersigned and applicant further represent that to the extent any InFormation previously submitted is not amended such inFormation Is currently accurate and complete.
Date MMfDDfYY 06/02/200B
Name of Applicant
PERSHING LLC
Authorized Signatory
RICHARD IZ20
Title
VICE PRESIDENT
day of
Subscribed and sworn before me this
,
by
Year
Notary Public
My commission expires
I
County of
State of
I
SO ~ SECURITIES AND EXCHANGE COMMISSION
2. Indicate by checking the appropriate box(es) each governmental authority,
organization, or jurisdiction in which the applicant is registered or registering as a broker-
i;
dealer.
If applicant is registered or registering with the SEC, check here and answer Items 2A
through 20 below.
YES NO
A. Is applicant registered or registering as a broker-dealer under Section 15(b) or Section
156 of the SecurIties Exchange Act of 1934?
ø 0
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B. Is applicant registered or registerIng as a broker-dealer under Section 15(b) of the
Securities Exchange Act of 1934 and also acting or intending to act as a government
securities broker or dealer?
G
0
G
C. Is applicant registered or registering solely as a government securities broker or dealer 0 under Section 15C of the Securities Exchange Act of 1934? Do not answer "yes" to Item 2C if applicant answered "yes" to Item 2A or Item 2B.
G If applicant answers "yes" to Items 2A and 2D, applicant expressly consents to the withdrawal of
its registration as a government securities broker or dealer under Section 15C of the Securities
D. Is applicant ceasing its activities as a government securities broker or dealer?
0
Exchange Act of 1934. See "Instructlons."
I
SECURITY FUTURES PRODUCTS ACTIVITIES
(Note: The field below Is reserved exclusively For the reporting of single stock Futures activIties by
I
registered broker-dealers. ThIs field cannot be utilized until the SEC approves rules relating to the
form and content of such reporting.)
I
BD - SRO I JURISDICTON
SO ~ SELF REGULATORY ORGANIZATIONS
I
I
I
¡;
AMEX
I
¡;
BSE
¡;
CBOE
¡;
CHX
i;
NSX
i;
FINRA
0
NqLX
i;
NQX
i;
NYSE
i;
PHLX
i;
ARCA
Puerto Rico
i;
ISE
I
BD - JURISDICTION
¡; Alabama
i; i;
i; i;
Alaska
Arizon'a
i;
i;
i; i; i; i; i; i; i; i;
i;
IllnoIs Indiana
lowa Kansas Kentucky
Louisiana
Maine
Arkansas
California
¡; Colorado i; Cannecticut i; Delaware
i; i; i; i; i;
i; i;
Montana
Nebraska Nevada New Hampshire
New Jersey
New Mexico
i; i; i; i;
i; i;
Rhode Island
South Carolina
South Dakota
¡; Tennessee i; Texas
Utah
New York
North Carolina
Maryland
i;
i; i; i; i;
i
District of Columbia
Florida
Massachusett
MichIgan
Georgia
Hawa.U
Minnesota
Mississippi
i;
i; i; i; i; i;
Vermont
Virgin Islands
VirgInia
North Dakota
Ohio
0
i; i; i;
Oklahoma
Washington
West Virginia
oregon
Idaho
¡; Missouri
¡; Pennsylvania
BD - LEGAL STATUS
I;-Wisconsin
~ Wyoming
I
3. A. Indicate legal status of applicant:
OCorporation
o Partnership
o Sale Proprietorship
o limited Uabllty Company
o Other (specify)
B. Month applicant's fiscal year ends:
DECEMBER
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C. IF other than a sole proprietor,. indicate date and place applicant obtained Its legal status (i.e., state or country where Incorporated, where partnership agreement was fied, or where
applicant entity was Forme.d):
State of formation:
Country cîf formation:
Date of formation: MM/DD/VYYY
Delaware
USA
01/17/2003
Schedule A, Direct Owners and Executive Offcers Section and, if applicable, Schedule 8, Indirect Owners Section must be completed as part of all Initial applications. Amendments to
these schedules must be provIded on Schedule C.
4. If applicant is a sole proprietor, state full residence address and Social SecurIty Number.
Social Security Number:
Number and Street 1:
City:
Number and Street 2:
State:
Country:
Zip/Postal Code:
I
SD - SUCCESSION
YES NO
I
5. Is applicant at the time of thIs filing succeeding to the busIness of a currently reglstèred
broker-dealer? Do not report previous successions already reported on Form 80.
If "Yes, " contact CRD prior to submitting form; complete appropriate items on Schedule 0, Page I, SectIon III.
I
a
l!
SO - ARRANGEMENTS
Yes No
I
6. Does applicant hold or maintain any funds or securities or provide clearing servIces for any other broker or dealer?
7. Does applicant reFer or introduce customers to any other broker or dealer?
l!
a
l!
a
IF "yes," complete appropriate.items on Schedule D, Page 1, Section iv, Arrangement
Detail.
8. Does applicant have any arrangement with any other person, firm, or organization under
which: A. any books or records of applicant are kept or maIntaIned by such other person, firm or organization?
person, firm, or organization?
a
a
l!
B.ac13ounts,funds,or-securlties-oF-the.appliG'ant-are-held-or-maintained-by-suGh-other:-.-O-ø
C. accounts, funds, or securities of customers of the applicant are held or maIntained by such other person, Firm, or organization?
l!
For purposes of B8 and BC, do not include a bank or satisfactory control location as
defined in paragraph( c) of Rule 15c3- 3 under the Securites Exchange Act of 1934 (17
CFR 240. 15c3-3).
If "Yes" to any part of Item 8, complete appropriate items on Schedule D, Page 1,
Sectfon iv, Arrangement Detail.
9. Does any person not named-in Item lor Schedules A, B, or C, directly or Indirectly:
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A. control the management or policies of the applicant through agreement or. otherwise?
B. wholly or partially flnance the business of applicant?
0 ø 0 ct'
Do not answer "yes" to 98 if the person finances .the business of the appffcant through: 1) a public offering of securities made pursuant to the Securities Act of 1933; 2) credit extended in the ordinary course of business by suppliers, banks, and
others; or 3) a satisfactory subordination agreement, as defined in Rule 15c3-1 under the Securities Exchange Act of 1934 (17 CFR 240. 15c3-1).
If "Yes" to any part of Item 9, complete approprIate Items on Schedule D, Page 1,
Section iv, Arrangement Detail.
I
SO - BUSINESS AFFILIATES
I
I
BD - Control Affilates
YES NO
I
10. A. DIrectly or Indirectly, does applicant control, Is applicant controlled by, or Is
applicant under common control with, any partnership, corporation, or other organization that Is engaged In the securities or Investment advIsory business? If "Yes" to Item lOA, complete appropriate items on Schedule 0, Page 2, Section V, Arm AfflIates.
B. Directly or IndIrectly, is applicant controlled by any bank holding company, national
ø 0
bank, state member bank of the Federal Reserve System, state non-member bank, savings bank or association, credit union, or Foreign bank? . If "Yes" to Item 108, complete appropriate items on Schedule 0, Page 3, Section VI,
Bank Affliates.
ø 0
I
SO - DISCLOSURE QUESTIONS
I
11. Use the appropriate DRP for providing details to "yes" answers to the questions In Item 11.
Refer to the Explanation of
Terms section of Form BD Instructions for expi~natlons of Italicized
terms.
i
CRIMINAL DISCLOSURE
. A. In the past ten years has the applicant or a control affliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign or military court to any felony? YES NO
I
0 ø 0 ø
(2) been charged with any felony?
. . .!l.In.Jhe_past te!Ly~_a.r~~a_~lheJeel(aJ.nt_Oi_~__r:~'!rpl.Jlft~l?t~: c
- --------- -----------
- .... -------------.-... ..
(1) been convIcted of or pled guilty or nolo contendere ("no contest") In a domestic,
ForeIgn or military court to a misdemeanor involving: Investments or an investmentre/~ted business, or any fraud, false statements or omissions, wrongful taking of propert, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to
0 ø
commIt any of these offenses? (2) been charged with a misdemeanor specified in !lS(!)?
i
0 ø
I YES NO
REGULATORY ACTION DISCLOSURE
c. Has the u.s. Securities and Exchange CommissIon or the Commodity Futures Trading
Commission ever:
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omission? (2) found the applicant or a control affliate to have been involved In a violation of its
regulations or statutes?
(1) found the applicant or a control affliate to have made a False statement or
G
o
o o
(3) found the applicant or a control affliate to have been a cause of an investmentrelated busIness havIng Its authorization to do business denied, suspended, revoked, or restricted?
(4) entered an order against the applicant or a control affliate in connection with an investment-related activity? (5) imposed a civil money penalty on the applicant or a control affliate, or ordered the
o o
.; o
o o
applicant or a control affliate to cease and desist from any activity?
D. Has any other federal regulatory agency, any state regulatory agency, or foreign financIal regulatory authority: (1) ever found the applicant or a control affliate to have made a false statement or
omission or been dishonest, unfair, or unethical? (2) ever found the applicant or a control affliate to have been involved In a violation of C! Investment-related regulations or statutes? (3) ever found the applicant or a control affliate to have been a cause of an o investment-related busIness having Its authorization to do business denied,
o o o
.;
suspended, revoked, or restricted? (4) In the past ten years, entered an order against the applicant or a control affliate in connection with an investmentRrelated actlv"lty?
(5) ever denied, suspended, or revoked the appflcants or a control affliate's
investment-related business or restrIcted Its actvIties? E. Has any self-regulatory organization or commodities exchange ever:
registration or license or otherwise, by order, prevented It from associating with an
o o o o o o o o o o o o o o
0---0- ---_..
(1) found the applicant or a contrl affliate to have made a False statement or
(2) found the applicant or a control affllate to have been Involved In a violation of its ,tlles (other than a violation designated as a "mInor rule violation" under a plan approved by the U.S. SecurIties and Exchange Commission)?
omission? .
(3) found tl)e applicant or a control affliate to have been the cause of an investmentrelated business having its authorization to do business denied, suspended, revoked, or restricted?
(4) discIplined the applicant or a control affliate by expelling or suspending it From membership, barring or suspending its association with other members, or otherwise restrictIng its activities? F. Has the applicant's or a control affliate's authorization to act as an attorney,
accountant, or Federal contractor ever been revoked or suspended? G. Is the aflelicant or a control affliate now the subject of any regulatory proceeding that
- - couid-i=suît in a "yes"-ãiiswertoanypart ofüë,-õ,or Ei--- -- - "- - - --- ----- ----- --"
CIVIL JUDICIAL ACTION DISCLOSURE
H. (1) Has any domestfc or Foreign court: YES NO
(a) In the past ten years, enjoined the applicant or a control affliate in connection C! 0
with any investment-related activIty?
(b) ever found that the applicant or a control affliate was involved in a violation of (! 0
investment-related statutes or regulations?
(c) ever dismissed, pursuant to a settlement agreement, an investment-related civil 0 Gl
acton brought against the applicant or control affliate by a state or foreign financial regulatory authority?
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(2) Is the applicant or a control affliate now the subject of any civil proceeding that could result in a "yes" answer to any part of llH(1P
FINANCIAL DISCLOSURE
1. In the past ten years has the applicant or a control affliate of the applicant ever been a
securIties firm or a control affliate of a securities firm that:
o C!
YES
NO
(1) has been the subject of a bankruptcy petitIon?
Co
C;
C;
(2) has had a trustee appointed or a direct payment procedure initiated under the Securities Investor Protection Act? J. Has a bonding company ever denied, paid out on, or revoked a bond For the applicant?
K. Does the applicant have any unsatisfied judgments or liens against it?
Co
Co
C;
Co
I
BD - TYPES OF BUSINESS
12. Check types of business engaged In (or to be engaged In, IF not yet active) by applicant. Do not check any category that accounts For (or is expected to account For) less than 1% of annual
revenue From the securities or Investment advisory business.
A. Exchange member engaged In exchange commissIon business other than floor I!EMC
B.
activitIes. Exchange member engaged in floor activities.
~EMF
C.
D.
Broker or dealer making Inter-dealer markets In corporate securities over~thecounter.
Broker or dealer retailing corporate equity securItIes over-the-counter.
Broker or dealer selling corporate debt securities.
0IDM
~BDR
I!BDD
E.
F.
Underwriter or sellng group participant (corporate securities other than mutual
funds).
G.
H.
Mutual fund underwriter or sponsor.
~USG
~MFU gMFR
R1GSD
Mutual fund retailer.
i.
1. U.S. government securities. dealer.
2. U.S. government securItIes broker.
J. Municipal securities dealer.
K. Municipal securities broker. L. Broker or dealer sellng variable life insurance or annuities. M. Solicitor of time deposits In a financial Institution. N. Real estate syndicator. o. Broker or dealer seiling oil and gas interest.
P.
~GSB ~MSD i;MSB
DVLA
~SSL
ORES DDGI
21PCB
Put and call broker or dealer or option writer.
Broker or dealer sellng securities of only one issuer or associate issuers (other than mutual funds).
Q.
R.
DBIA
DNPB DIAD DTAP
s.
T.
Broker or dealer sellng securities of non-proflt,organizations (e.g., churches, hospitals). Investment advisory services,
1. Broker or dealer selling tax shelters or limIted partnerships In primary
distributions.
2, Broker or dealer sellng tax shelters or limited partnerships In the secondary DTAS market.
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u.
Non-exchange member arranging for transactions in listed securities by exchange member.
DNEX
v. TradIng securities for own account. w. Private placement of securitIes. . X. Broker or dealer sellng interests In mortgages or other receIvables.
Y.
~TRA DpLA
~MRI
DBNA
Broker or dealer Involved In a networking, kiosk or similar arrangement with a: 1. bank, savings bank or association, or credIt union.
2. Insurance company or agency
z.
Other (give details on Schedule 0, Page 1, Section II, Other Business)
DINA ~OTH
VESNO
13. A. Does applfcant effect transactions In commodity futures, commodities or commodity
optIons as a broker For others or as a dealer for Its own account?
0 0
I1
B. Does applicant engage In any other non-securities business?
I1
If "yes", describe each other business brIefly on Schedule D, Page 1, Section II, Other Business.
i
5D - DIRECT OWNERS
Are there any Indirect owners or the applicant required to be reportd on Schedule B?
I
C! Yes 0 No
Ownership Codes:
NA - less than 5"10
A
- 5% but less than 10%
FEll
B - 10"10 but less than 25% C . 25% but less than 50%
D - 50% but less than 750/0
E - 75% or more
Full Legal Name
BERNTSEN, TORRY
BICKET, PATRICIA ANN
BRUECKNER, RICHARD FREDERICK
DATTOLO, JOSEPH JAMES
DEI
Title or Status
Date ¡own. Control Acquired Code Person
I
ÛeRD #(or
5.S.No., IRS
Tax #, Emp. iO)
!BOARD MEMBER
1110/2006 11°5/2003
LJISEcRETARY
D
I
BOARD MEMBER, CHIEF EXECUTIVE OFFICER (CEO) & PRESIDENT SENIOR REGISTERED OPTIONS PRINCIPAL (SROP), MANAGING
L:OOD
IEJDEJ IEJDEJ
N
xx-xx-xxxx
4030557
878486
864228
DIREcrOR
DECICCO, RONAW
BOARD MEMBER, CHIEF - ADMINISTRATIVE OFFCER (CAO), FINOP
HEAD OF OPERATIONS,
DDD
105/2007
1103/2005
II
DOLLY, USA ANN
MANAGING DIREcrOR
THOMAS IMASTRo, J. ERSHING
ROUP LLC
t=t3B IEJDN
N
II
II
2172192
895627
IDIBOARD MEMBER
~IHOLDING COMPANY
I
CHIEF COMPUANCE
1110/2006 IEJDEJlxxx-xx-xxxxl
IDDEJI11-3743321
,
ANTANIELLO, LAIRE H.
OFFiCER (CCO), MANAGING DIREcrOR
,
101/2003100D12270607 1 IiiJ
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SHEA, BRIAN THOMAS
WALLESTAD, DENNIS ALLEN
WYATT, CORWIN DUANE
U D D
BOARD MEMBER, CHIEF OPERATING OFFICER (COO) BOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO) COMPLIANCE REGISTERED OPTIONS PRINCIPAL (CROP),
1°5/2003 ItJUtJIl16298 1
NA
Y
1°5/2003 I
NA
N
012606085 I
DIRECfOR
1°'/20061
B - 10% but less than 25% C - 25% but les than 50%
I
BD - INDIRECT OWNERS
DD
I
Ownership Codes:
NA - less than 5% A - 5% but less than 10%
D - 50% but less than 75%
E - 7SOJo or mD~a
Full Legal Name
Entity in Which Interest is IDE/FEli Owned
Status
Date Own. Control Acquired Code Person
03/2005
CRD # (or SSN,lRSTax
#, Emp. ID)
THE BANK OF NEW YORK MELLON CORPORATION
D
10%
D
E
PERSHING
GROUP LLC
ULTIMATE PARENT
13-
D
D - 500J but less than
:15%
2614959
BD Schedule C - Amendments to Schedules A &. B
B - 100J but less than
In the Type or Amd. column, Indicate "A" (addItion), -0- (deletIon), or .C. (change or Infonnatlon about the same peron).
Ownership Codes
NA-Iess than SOJ
are:
A - SOJ but less than
25%
F - Other General
Partners
c- 25% but less than 50%
E - 7So/0 or mD~e
LIst below all changes to Schedule A: (DIRECT OWNERS AND EXECUTIVE OFFICERS)
Full Legal Name
IDE/FE/II
Type of Title or Amd. Status
Date Acquired
~
Code
Control Person
Ü
CRD # (o~ SSN, IRS Tax #, Emp. 10)
No Information Filed
lUst below all changes to Schedule B: (INDIRECT OWNERS)
I
Full
Legal Name
DE/FE/I Type of
Amd.
Interest is Owned
Entity in Which
Date Acquired
Istatui
EJ
Code
Person
Control
PR CRD # (or
SSN, IRS TaX
#, Emp. ID)
No Information Filed
I
BD - OTHER BUSINESS NAMES
II
No Information Filed
i
BD - OTHER BUSINESS
I
Briefly describe any other business (Item 12Z).
UNIT INVESTMENT TRUSTS.
Briefly describe any other non-securities business (Item 13S).
htts:l!crd.fi.orgIDBDw/eRD1RM _ BDViewHistasx?FR~PrintO&FL~O&Ref... 71312008
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Page 10 ofl90
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i
BD - SUCCESSIONS
I
Date of Succession:
MMlDDlVY
Name of Predecessor:
Firm CRD Number
IRS Employer Identification Number (If SEC File Number (ir
any)
any)
B-
Briefly describe details of the succession including any assets or liabilties not assumed by the successor.
BO - ARRANGEMENTS / CONTROL PERSONS I FINANCING
I
,
No Information Filed
I
BD - AFFILIATES
I
I
Business
The details supplied relate to: Partnership, Corporation, or Organization Name CRD Number (if any) PERSHING ADVISOR SOLUTONS LLC 36671 The Partnership, Corporation, or Organization
o controls applicant
.
I
0
is controlled by applicant
G is under common control with applicant
BusIness Address
Street 1 Street 2
ONE PERSHING PLAZA, 10TH FLOOR
City
JERSEY CIT
State
New Jersey
country
USA
Zip/Postal Code
Effective Date (MMlDDlYY) 09/19/2005 Is Partnership, CorporatIon or Organization a foreign entity?
07399 Termination Date (MMlOOjVY)
If Yes, provide country of domicile or
incorporation
OYes C!No Activities of this Partnership, Corporation, or Organization:
Securities Activities
C! Yes °ND o Yes GiNo
Investment Advisory Activities
-
ISrfefty"ifësëri6e-thecontrõr relatio-nship -- -- -------
----------
-..- --- --------------
-- --- ---
-
ENTI is UNDER COMMON CONTROL WIT THi; APPllCANT BY REASON OF BEING A DIREcr OR INDIRECT SUBSIDIARY OF THE BANK OF NEW YORK MELLON CORPORATION.
I
Business
The details supplied relate to: partnership, Corporation, or Organization Name CRD Number (if any)
BNY CONVERGEX llMITED
I
The Partnership, Corporation, or Organization
o controls applicant
htts://cr.finrorgIDBDW/CR_FRM JlDViewHist.asx?FR=PrtO&FL=O&Ref... 7/3/2008
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Web CRD - BD Historical Filing )) All Pages (User Name: gelose, Orgil: 50018)
a is controlled by applicant
C! is under common control with applicant
Business Address
Street 1
Street 2
ONE CANADA SQUARE
City
LONDON
State
Effective Date (MM/DDfYV)
If Yes, provide country of domicile or foreign entity? incorporation UNITED KINGDOM G:Yes 0No Activities of this Partnership, Corporation, or Organization:
Securities Activities
02/01/2008 Is Partnership, Corporation or Organization a
UNITED KINGDOM E14 SAL Termination Date (MM/DDfYV)
Country Zip/Postal Code
~ Ves ONo
o Yes C!No
Investment Advisory Activities
Briefly describe the control relationship
ENTI is UNDER COMMON CONTROL WITH THE APPLICANT BY REASON OF BEING A DIRECT OR INDIRECT SUBSIDIARY OF THE BANK OF NEW YORK MEllON CORPORATION.
Business
The details supplied relate to:
Partnership, Corporation, or Organization Name eRD Number (if any)
BNY CAPITAL MARKETS INC. 18303
o controls applicant
o is controlled by applicant
The Partnership, Corporation, or Organization
(! is under common control with applicant
Business Address
Street 1
Street 2
ONE WALL STREET
City
NEW
State
YORK
Country
USA
Zip/Postal Code
New York
Effective Date (MMjDD¡YY)
05/01/2003 Is Partnershi~, Corporation or Organization a
10286 Termination Date (MMlDD¡YY) 04/30/2008
If Yes,-provide country of dom~cile or
foreign entity? incorporation OYes c;No Activities of this Partnership, Corporation, or Organization:
Securities Activities
(! Yes ONo
Investment Advisory Activities 0 Yes (! No
Briefly describe the control relationship
ENmY is UNDER COMMON CONTROL WITH THE APPLICANT BY REASON OF BEING A DIRECT OR INDIRECT SUBSIDIARY OF THE BANK OF NEW YORK MELLON CORPORATION.
Business
htts://crd.finr.orgIDBDW/CRD_ FR _BDViewHist.asx?FR~PritO&FL9l&Ref... 7/3/2008
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Web CRD - BD Historical Filing)) All Pages (User Name: gelose, Orgi: 50018J
The details supplied relate to:
Partnership, Corporation, or Organization Name CRD Number (if any)
BNY INVESTMENT CENTER INC. 47683
T~e Partnership, Corporation, or Organization
o controls applicant
o is controlled by applicant
C! is under common control with applicant
Business Address
Street 1
street 2
1633 BROADWAY, 9TH FLOOR
City
NEW YORK
State
New York
Country Zip/Postal Code
Effective Date (MM/DO/YY)
USA 10019
foreign entity? OYes GNo
05/01/2003 Is. Partnership, Corporation or Organization a
Termination Date (MM/OD/y)
02/29/200B
If Yes, provide country of domicile or incorporation
Activities of this Partnership, corporation, or Organization:
Securities Activities C! Yes 0 No
Investment Advisory Activities GJ Yes 0 No
Briefly describe the control relationship
ENTI IS UNDER COMMON CONTROL WITH THE APPUCANT BY REASON OF BEING A DIRECT OR .INDIRECT SUBSIDIARY OF THE BANK OF NEW YORK MELLON CORPORATION.
Business
The details suppUed relate to: Partnership, Corporation, or Organization Name CRD Number (if any)
BNY OVERLAY ASSOCIATES 112330
o controls applicant
o is controlled by applicant
The Partnership, Corporation, or Organization
i is under common control with applicant
Business Address
Street 1 Street 2
"ONE-CANADA-SQUARE ---------- -- --- ----------. City State
LONDON
Effective Date (MM/DD/YVYV)
Country Zip/Postal Code
UNITED KINGDOM E145Al
Termination Date (MM/DD/YVYV)
05/01/2003 Is Partnership, Corporation or Organization a
foreign entity?
l'Yes ONo
If Yes, provIde country of domicile or incorporation
UNITED KINGDOM
Activities of this Partnership, Corporation, or Organization:
Securities Activities
o Yes ~NO
htts://crd.fínrorgIDBDW/CRD_ FR_ BDViewHist.asx?FR~PriO&FL~O&Ref... 7/3/2008
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Web eRD - BD Historical Filing)) All Pages (User Name: gelose, OrgID: 50018)
Investment Advisory Activities
Briefly describe the control relationship
tV Yes 0Na
ENTT is UNDER COMMON CONTROL WITH THE APPLICANT BY REASON OF BEING A DIRECT OR INDIREcr SUBSIDIARY OF THE BANK OF NEW YORK MEUON CORPORATION.
Business
The details supplied relate to: Partnership, Corporation, or Organization Name CRD Number (if any)
BNYTRADING LLC 41410
o controls applicant
o is controlled by applicant
The Partnership, Corporation, or Organization
i Is under common control with applicant BusIness Address
Street i
Street 2
32 OLD SLIP
City
NEW
State
YORK
Country Zip/Postal Code
New York
USA 10286
If Yes, provide country of domicile or foreign entity? incorporation uYes GNO Activities of this Partnership, Corporation, or Organization: Securities Activities Í! Yes ONo
Investment Advisory Activities 0 Yes ø No
Effective Date (MMlDDlVY) 05/01/2003 Is Partnership, Corporation or Organization a
Termination Date (MMlDDlYY) 10/11/2007
Briefly describe the control relationship
ENTT is UNDER COMMON CONTROL WITH THE APPUCANT BY REASON OF BEING A DIRECT OR INDIRECT SUBSIDIARY OF THE BANK OF NEW YORK MELLON CORPORATION.
. .
Business
The details supplied relate to: Partnership, Corporation, or organization Name eRD Number (if any)
ESTABROOK CAPITAL MANAGEMENT 107797
The Partneõship, Corporation, or Organization
- -cYcon-trois ã-pjii1èiJ-ni-------------o is controlled by applicant
C! is under common control with applicant
Business Address
Street i
Street 2
City State NEW YORK New York
1633 BROADWAY, 30TH FLOOR
Country Zip/Postal Code
USA 10019
Effective Date (MMlDDlYY)
Termination Date (MM/DD/YY)
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Page i 4 0090
If Yes, provide country of domicile or foreign entity? incorporation UYes lVNo Activities of this Partnership, Corporation, or Organization:
05/01/2003 Is Partnership, Corporation or Organization a
Securities Activities 0 Yes c; No
Briefly describe the control relationship
Investment Advisory Activities t! Yes 0 No
ENTI is UNDER COMMON CONTROL WITH THE APPL.CANT BY REASON OF BEING A DIRECT OR INDIRECT SUBSIDIARY OF THE BANK OF NEW YORK MELLON CORPORATION.
Business
The details supplied relate to: Partnership, Corporation, or Organization Name CRD Number (if any)
GANNET WELSH & KOTLER, LLC 121942
o controls applicant
o Is controlled by applicant
The Partnership, Corporation, or OrganizatIon
" is under commòn control with applicant
Business Address
Street i
Street 2
15TH FLOOR
222 BERKELEY STREET
City
BOSTON
State
Massachusetts
Country Zip/Postal Code
USA 02116
incorporation
foreign entity?
uYes (SNo
Effective Date (MM/DD/VY) 05/01/2003 Is Partnership, Corporation or Organization a
TermInation Date (MM/DD/Y)
ItYes, provide country of domicile or
Activities of this Partnership, Corporation, or Organization:
Securities Activities
o Yes C!No
Investment Advisory Activities I Yes 0 No
Briefly describe the control relationship
ENTI is UNDER COMMON CONTROL WITH THE APPUCANT BY REASON OF BEING A DIRECT OR
- --"---- ----- ------- -- INÐIREGT-SUBSIÐIARY-0F-THE-BANK-GF-NEW.YORK--MEI';.0N-CORPORATIGN;---- - -- _._- _._- --,.---
Business
The details supplied relate to: Partnership, Corporation, or Organization Name CRD Number (if any)
IVY ASSET MANAGEMENT CORP 107831
The Partnership, corporation, or Organization
o controls applicant
o is controlled by applicant
htts://crd.fi.org/RMDBDW/CR_FRM _ BDViewHi5t.aspx?FR~PritO&FL9)&Ref... . 7/3/2008
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Page i 5 of! 90
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o is under common control with applicant
Business Address
Street 1 Street 2
591 STEWART AVENUE, 5TH FLOOR
City
GARDEN CIT
State
New York
Country Zip/Postal Code
USA 11530
Effective Date (MMjDDjYY) 05/01/2003 Is Partnership, Corporation or Organization a
Termination Date (MMjDDjYV)
foreign entity?
If Vest provide country of domicile or incorporatIon
0Yes ffNo
Activities of this Partnership, Corporation, or Organization: Securities Activities o Yes GNo
Investment Advisory Activlties i Yes 0 No
Briefly describe the control relatIonship
ENTI is UNDER COMMON CONTROL WITH THE APPUCANT BY REASON OF BEING A DIRECT OR INDIRECT SUBSIDIARY OF THE BANK OF NEW YORK MELLON CORPORATION.
Business
The details supplied relate to: .
partnership, Corporation, or Organization Name CRD Number (if any) LOCKWOOD ADVISORS INC 106108 The Partnership, Corporation, or Organization
o controls applicant
o is controlled by applicant
G) is under common control with applicant
Business Address
Street 1 Street 2
10 VALLEY STREAM PARKWAY
SUITE 310
City
MALVERN
State
Pennsylvania
-USA 19355
Country Zip/Postal Code
Effective Date (MMjDDjYY) 05/01/2003
Termination Date (MMjDDJYV)
Is Partnership, Corporation or Organization a If Yes, provide country of domicile or
foreign entity? incorporation
ActIvities of this Partnership, Corporation, or Organization: Securities Activities u Yes eNo
Investment Advisory Activities C! Yes 0 No
-O-Yes . ~ No-- --- ----------- ------- . -- ------------- --- ----------- -- -- ---- -- - ----------- --- -- - _.
Briefly describe the control relationship
ENTI IS UNDER COMMON CONTROL WITH THE APPUCANT BY REASON OF BEING A DIRECT OR INDIRECf SUBSIDIARY OF THE BANK OF NEW YORK MELLON CORPORATION.
i
Business
IThe details supplied relate to:
htt,:/lcrd.fia.orgIRMDBDW/CR _FR_ BDViewHi't.a,px?F~PritO&F~O&Ref... 71/2008
Case 3:08-cv-03141-WHA
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Web CRD . BD Historical Fi.ling ~~ All Pages (User Name: gelose, Orgi: 50018J
Partnership, Corporation, or Organization Name CRD Number (if any)
LOCKWOOD CAPITAL MANAGEMENT, INC 40655
The Partnership, Corporation, or Organization
o controls applicant
a is controtted by applicant
m is under common control with applicant
Business Address
Street 1
Street 2
10 VALLEY STREAM PARKWAY
SUITE 310
City
MALVERN
Effective Date (MM/DDJVVYY)
.State
Pennsylvania
Country
U5A
Zip/Postal Code
19355
Termination Date (MMJDDJYYVV)
05/01/2003 Is Partnership, Corporation or Organization a foreign entity?
If Yes, provide country of domicile or
incorporation
aYes (!No
Activities of this Partnership, Corporation, or Organization:.
Securities Activities
o Yes GlNo
Investment Advisory Activities eYes 0 No
Briefly describe the control relationship
ENTI IS UNDER COMMON CONTROL WITH THE APPliCANT BY REASON OF BEING A DIRECT OR INDIRECT SUBSIDIARY OFTHE BANK OF NEW YORK MELLON CORPORATION.
Business
The details supplied relate to: Partnership, Corporation, or Organization Name CRD Number (if any) WESTMINSTER RESEARCH ASSOCIATES LLC 14508 The Partnership, Corporation, or Organization
a controls applicant
o is controtted by applicant
Gl is under common control with applicant
Business Address
Street 1 street 2
ONE WALL STREET, 33RD FLOOR
-Ciqr--- ---- - -- - ------- - - ----- ----StateEffective Date (MM/DD/VVYY)
NEW YORK New York
05/01/2003
--CountryUSA
------ZipjPostal 'Co.de.---.-
10286 Termination Date (MM/DD/YV)
Is Partnership, Corporation or Organization a
foreign entity?
If Yes, provide country of domicile or incorporation
DYes t'No Activities of this partnership, corporation, or Organization:
Securities Activities
i; Yes (1No
Investment Advisory Activities
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Name: gelose, OrgID: 50018J
Page 17of190
o Yes oNo
BrIefly describe the control relationship
ENTI is UNDER COMMON CONTROL WITH THE APPLICANT BY REASON OF BEING A DIRECT OR INDIRECT SUBSIDIARY OF THE BANK OF NEW YORK MELLON CORPORATION.
Business
The details supplied relate to: Partnership, Corporation, or Organization Name CRD Number (if any)
B-TRADE SERVICES LLC 41262
o controls applicant
o is controlled by applicant
The partnership, Corporation, or Organization
' Is under common control with applicant
Business Address
Street 1
Street 2
1633 BROADWAY
City
NEW
State
YORK
Country
USA
Zip/Postal Code
New York
Effective Date (MMjDDjVY) 05/01/2003
Is partnership, Corporation or Organization a
10019 Termination Date (MMjDDjVY) 02/20/2008
foreign entity?
uYes iNo
If Yes, provide country of domicile or incorporation-
Activities of this partnership, Corporation, or Organization:
Securities Activities
G: Yes 0 No
Investment Advisory Activities 0 Yes i No
Briefly describe the control relationship
ENTI is UNDER COMMON CONTROL WITH THE APPLICANT BY REASON OF BEING A DIRECT OR INDIRECT SUBSIDIARY OF THE BANK OF NEW YORK MELLON CORPORATION.
Business
The details supplied relate to:
Partnership, Corporation, or Organization Name CRD Number (if any)
BNY CONVERGEX EXECUTION SOLUTIONS LLC
35693
The Partnership, Corporation, Dr Organization
-O-coñ-iiois iippliújnt----.-- .. -- ------- - ------------ ---o is controtled by applicant
o is under common control with applicant
Business Add ress
Street i
City State NEW YORK New York
1633 BROADWAY
Street 2
Country Zip/Postal Code
USA 10019
Effective Date (MMlDDlVY)
Termination Date (MMlDOlYY)
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Web CRD w BD Historical Filing )) All Pages (User Name: gelose, OrgID: 50018J
If Yes, provide country of domicile or foreign entity? incorporation OYes l!No Activities of this Partnership, Corporation, or Organization:
01/02/2007 Is Partnership, Corporation or Organization a
Securities Activities (! Yes 0 No
Investment Advisory Activities eYes 0 No
Briefly describe the control relationship
ENTI is UNDER COMMON CONTROL WITH THE APPLICANT BY REASON OF BEING A DIRECT OR INDIRECT SUBSIDIARY OF THE BANK OF NEW YORK MELLON CORPORATION.
Business
The detalls supplied relate to: Partnership, Corporation, or Organization Name CRD Number (if any)
PERSHING LIMITED
The Partnership, Corporation, or Organization
o controls applicant
.
o is controlled by applicant
Gì is under common control with applicant Business Address
Street 1
City State
CAPSTAN HOUSE, ONE CLOVE CRESCENT
LONDON
Street 2
UNITED KINGDOM E14.2BH Termination Date (MMjDOjYY)
Country Zip/Postal Code
EAT INDIA DOCK
Effective Date (MMjDDjYY) 02/07/2003
Is Partnership, Corporation or Organization a
foreign entity? .
If Yes, provide country of domicile or incorporation
UNITED KINGDOM G!Yes ONO Activities of this Partnership, Corporation, 0': Organization: Securities Activities G Yes ONo
Investment Advisory Activities
Briefly describe the .control relationship
I Yes ONo
ENTI IS UNDER COMMON CONTROL WITH THE APPLICANT BY REASON OF BEING A DIRECT O,R
- ------- ---INDIRECr.SUBSIDIARY-_OEIHE_BANK_OE_NEW_YORK_MELLON-COR~ORATION.. . _______ __
Business
The details supplied relate to:
Partnership, Corporation, or Organization Name CRD Number (if any)
PERSHING SECURITIES LIMITED
The Partnership, Corporation, or Organization
C' controls applicant
o is controlled by applicant
htts:/Icrd.finr.org/RMDBDW/CRD_FRM _ BDViewHist.aspx?FR~PritO&FL~O&Ref... 7/3/2008
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Web CRD - BD Historical Filing ~~ All Pages (User Name: gelose, Orgil: 50018J
ø is under common control with applicant
Business Address
Street 1 Street 2
CAPSTAN HOUSE, ONE CLOVE CRESCENT
City
LONDON
State
Country zip/Postal Code
UNITED KINGDOM E14-2BH Termination Date (MMlDDlVY)
If
EAST INDIA DOCK
Yes, provide country of domicile or foreign entity? incorporation UNITED KINGDOM lYes ONo Activities of this Partnership, Corporation, or Organization: Secu rities Activities (! Yes °No
Investment ~dvisory Activities
Briefly describe the control relationship
ENTI is UNDER COMMON CONTROL WITH THE APPLICANT BY REASON OF BEING A DIREcr OR INDIRECT SUBSIDIARY OF THE BANK OF NEW YORK MELLON CORPORATION.
Effective Date (MM/DD/YY) 02/07/2003 Is Partnership, Corporation or Organization a
G Yes ONo
Business
The details supplied relate to: Partnership, Corporation, or Organization Name CRD Number (if any)
PERSHING SECURIES INTERNATIONAL UMITED
The Partnership, Corporation, or Organization
o controls applicant
o is controlled by applicant
o is under common control with applicant
Street 1
Gity State
BALLS
Business Address
Street 2
EMBASSY HOUSE, 4TH FLOOR, HERBERT PARK LANE
Country
IRELAND
Zip/Postal Code
BRIDGE, DUBLlN 4
Effective Date (MMlDDlYVY)
Termination Date (MMlDOlVY)
foreign entity?
02/07/2003 Is Partnership, Corporation or Organization a
If Yes, provide country of domicile or incDiporation
IRE.LA.N.D__________ ___ _
-øYeS--0No--- - - - - -- ------- - - -- .-.
Investment Advisory Activities
Briefly describe the control relationship
Activities of this Partnership, Corporation, or Organization:
Securities Activities G: Yes 0 No
o Yes 0No
ENTI IS UNDER COMMON CONTROL WITH THE APPLlCANT BY REAON OF BEING A DIRECT OR INDIRECT SUBSIDIARY OF THE BANK OF NEW YORK MElLON CORPORATION.
I
Business
Inie details supplied relate to:
htlps://crd.finra.orgIDBDW/CRD 1RMJlDViewHist.aspx?FR~PrintO&FL"'&Ref... 7/3/2008
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Partnership, Corporation, or Organization Name CRD Number (if any)
G-TRADE SERVICES llMITED
The Partnership, Corporation, or Organization
o controls applicant-
o is èontrolled by applicant
i is under common control with applicant Business Address
Street 1
Street 2
CRAWFORD HOUSE, 23 CHURCH STREET
City
HAMILTON
State
Country Zip/Postal Code
BERMUDA HM-ll
Termination Date (MMlDDl't)
If Yes, provide country of domicile or incorporation
BERMUDA
Effective Date (MMlDDlYY) 05/01/2003 Is Partnership, Corporation or Organization a
foreign entity?
GiYes ONo
Securities Activities
Activities of this Partnership; Corporation, or Organization:
G: Yes 0 No
o Yes (!No
Investment Advisory Activities
Briefly describe the control relationship
ENTl IS UNDER COMMON CONTROL WITH THE APPliCANT BY REASON OF BEING A DIRECT OR INDIRECT SUBSIDIARY OFTHE BANK OF NEW YORK MELLON CORPORATION.
Business
The details supplied relate to: Partnership, Corporation, or Organization Name CRD Number (if any)
BNY MARKETS UMITED
The PartnershIp, Corporation, or Organization
o controls applicant
o is controlled by applicant
(! is under common control with applicant Business Address
Street 1.
ONE CANADA SQUARE
Street 2
City
LONDON
State-Country ZipjPostal-Code
UNITED KINGDOM E14-5AL
.Effective Date (MMjDDjYV) 05/01/2003 Is Partnership, Corporation Or Organization a
foreign entity?
Termination Date (HMlDDl't)
If Yes, provide country of domicile or Incorporation
UNITED KINGDOM
(!Yes ONo
Activities of this partnership, Corporation, or Organization:
Securities Activities Go Yes () No
Investment Advisory Activities
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Page 21 of190
Name: gelose, Orgil: 50018J
o Yes c;No
Briefly describe the contra/relationship
ENTI is UNDER COMMON Co'NTROL WITH THE APPllCANT BY REASON OF BEING A DIRECT OR INDIREcr SUBSIDIARY OF THE BANK OF NEW YORK MELLON CORPORATION.
Business
The details supplied relate to:
Partnership, Corporation, or Organization Name CRD Number (if any)
BNY SECURmES AUSTRALIA LIMITED
The Partnership, Corporation, or Organization
o controls applicant
o is controlled by applicant
c; is under common control with applicant
Business Address
Street i
TIE CH1FLEYTOWER, 2 CHIFLEY SQUARE, LEVEL 17
City State
SYDNEY
Effective Date (MM/DD/YYYY)
Street 2
Country
AUSTRAllA
Zip/Postal Code
Termination Date (MM/DD/YY)
foreign entity?
Í!Yes CJNo
05/0112003 Is Partnership, Corporation or Organization a
If Yes, provide country of domicile or incorporation
AUSTRALIA
Activities of this Partnership, Corporation, or Organization: Securities Activities (! Yes ONo
Investment Advisory Activities
Briefly describe the control relationship
ENTI IS UNDER COMMON CONTROL WITH THE APPUCANT BY REASON OF BEING A DIRECT OR INDIRECT SUBSIDIARY OFTHE BANK OF NEW YORK MELLON CORPORATION.
u Yes (iNo
Business
The details supplied relate to:
Partnership, Corporation, or Organization Name CRD Number (if any)
BNY MELLON SERVICES llMITED
The Partnership, Corporation, or Organization
a controls applicant
o is controlled by applicant
o is under common control with applicant
Business Address
Street i
ONE CANADA SQUARE
Street 2
City
LONDON
State Country Zip/Postal Code
UNITED KINGDOM E14-5AL Termination Date (MMlDD/VY)
Effective Date (MM/DD/VY)
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Page22of190
If Yes, provide country of domicile or incorporation foreign entity? UNITED KINGDOM. SYes UNo Activities of this Partnership, Corporation, or Organization: Securities Activities ' ø Yes ONo
Investment Advisory Activities
Briefly describe the control relationship
ENTI is UNDER COMMON CONTROL WITH THE APPLICANT BY REASON OF BEING A DIRECT OR INDIREcr SUBSIDIARY OF THE BANK OF NEW YORK MELLON CORPORATION.
05/01/2003 Is Partnership, Corporation o'r Organization a
cÐ Yes ONo
Business
The details supplied relate to:
Partnership, Corporation, or Organization Name CRD Number (if any)
GLOBAL EXECUTION TECHNOLOGIES LIMITED
The Partnership, Corporation, or Organization
a controls applicant
o is controlled by applicant
Gi is under common control with applicant
Business Address
Street i
Street 2
CRAWFORD HOUSE, 23 CHURCH STREET
City
HAMILTON
State
Country Zip/Postal Code
BERMUDA HM-ll
Termination Date (MM/ODjVY)
Effective Date (MMjODjYV)
foreign entity?
G:Yes ONo
01/03/2006 Is Partnership, Corporation or Organization a
If Yes, provide country of domicile or incorporation
BERMUDA
Activities of this Partnership, Corporation, or Organization:
Securities Activities S Yes 0 No
Investment Advisory Activities
Briefly describe the control relationship
o Yes rNo
ENTTTYIS UNDER COMMON CONTROL WITH THE APPLICANT BY REASON OF BEING A DIRECT OR INDIR~cr SUBSIDIAR:'-Oi: THE BANK o¡: NEW ¥ORK MELLON.CORPORA110N.
Business
The details supplied relate to:
ALCENTRA, INC. 128557
The Partnership, Corporation, or Organization
o controls applicant
o is controlled by applicant
Partnership, Corporation, or Organization Name CRD Number (if any)
htts://crd.finr.orgIRMDBDw/eRD_ FR _BDViewHist.asx?FR=PrilO&FL=O&Ref... 7/3/2008
Page 23 of 100 Web CRD -" BD Historical Filing )~ All Pages (User Name: gelose, OrgID: 50018) Page 23 of190
Case 3:08-cv-03141-WHA
Document 26-2
Filed 07/07/2008
~ is under common control with applicant
Business Address
Street 1
Street 2
150 SOUTH RODEO DRIVE, SUITE 230
City
BEVERLY HILLS
State
California
Country Zip/Postal Codé
USA 90212-2408
Effective Date (MMlDDlYY) 03/06/2002
Is partnership, CorporatIon or Organization a
Termination Date (MMlDD/VY)
foreign entity?
OYes GiNo
If Yes, provide country of domicile or incorporation
Activities of this Partnership, Corporation, or Organization:
Securities Activities
o Yes G: No
Investment Advisory Activities (! Yes 0 No
Briefly describe the control relationship
ENTI is UNDER COMMON CONTROL WITH THE APPLICANT BY REASON OF BEING A DIRECT OR INDIRECT SUBSIDIARY OF THE BANK OF NEW YORK MELLON CORPORATION.
Business
The details supplied relate to: Partnership, Corporation, or Organization Name CRD Number (if any)
G~TRADE SERVICES LLc 140314
o controls applicant
o is controlled by applicant
The Partnership, Corporation, or Organization
GJ is under commori control with applicant Business Address
Street 1
City State NEW YORK New York
1633 BROADWAY
Street 2
Country
Zip/Postal Code
Is Partnership, Corporation or Organization a
11/30/2005 .
Effective Date (MMlDDjYYYY)
USA 10019 Termination Date (MMlDDlYYVY)
foreign entity?
If Yes, provide country of domicile or incorporation
.GYe"s-ß.-No-Activities of this Partnership, Corporation, or Organization: Securities ActIvities i Yes ONo
Investment Advisory Activities 0 Yes o No
Briefly describe the control relationship
ENT is UNDER COMMON CONTROL WITH THE APPUCANT BY REASON OF BEING A DIRECT OR INDIREcr SUBSIDIARY OFTHE BANK OF NE:W YORK MELLON CORPORATION.
I
Business
IThe details supplied relate to:
htts://crd.fia.orgRMDBDW/CRDJRM _ BDViewHislasx?FRoPrintO&F~&Re(... 713/2008
Case 3:08-cv-03141-WHA
Web CRD ~ BD Historical Filing)) All Pages (User
Document 26-2
Filed 07/07/2008
Page 24 of 100
Page 24 of 190
Name: gelose, OrgID: 50018)
Partnership, Corporation, or Organization Name CRD Number (if any)
URDANG CAPITAL MANAGEMENT INC 106983
The Partnership, Corporation, or Organization
o controls applicant
o is controlled by applicant
c; is under common control with applicant
Business Address
Street 1 Street 2
City MEffNG pennsylvania State PLYMOUTH
630 W. GERMANTOWN PIKE, SUITE 300
Country Zip/Postal Code
USA 19462
Effective Date (MM/DD/YV) 0310212006 Is PartnershIp, Corporation or Organization a
foreIgn entity?
Termination Date (MMlDD/YY)
If Yes, provide country of domicile or incorporation
OYes G:No
Activities of this Partnership, corporation, or Organization:
Securities Activities
o Yes G: No
Investment Advisory Activities I Yes 0 No
Briefly describe the control relationship
ENT is UN"DER COMMON CONTROL WITH THE APPllCANT BY REASON OF BEING A DIRECT OR INDIRECT SUBSIDIARY OF THE BANK OF NEW YORK MELLON CORPORATION.
Business
The details supplied relate to: Partnership, Corporation, or Organization Name CRD Number (if any)
URDANG SECURmES MANAGEMENT INC 107644 "
o controls applicant
o 1s controlled by applicant
The Partnership, Corporation, or Organization
(! is" under common control with applicant Business Address
Street 1
Street 2
630 W. GERMANTOWN PIKE, SUITE 300
City"'- - - ------ State-----------Country----ZipIPostal-Code------"
PLYMOUTH MEffNG PennsylvanIa USA 19462
03/02/2006 Is Partnership, Corporation or Organization a
Effective Date (MM/DD/YY) TermInation Date (MMlDOfVYVY)
foreign entity? "
0Yes G: No
If Yes, provide country of domicile or inco.rporation
Activities of this Partnership, Corporation, or Organization:
Securities Activities 0 Yes c; No
Investment Advisory Activities
htts:llcrd.fi.orgIRMDBDW/CRD_FR _ BDViewHist.aspx?FR~PritO&FL=O&ReL 7/312008
Case 3:08-cv-03141-WHA
Document 26-2
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Page 25 of 100
Page 25 of 190
Web CRD - BD Historical Filing )) All Pages (User Name: gelose, Orgil: 50018J
ø Yes ONo Briefly describe the control relationshIp
ENTI is UNDER COMMON CONTROL WITH THE APPUCANT BY REASON OF BEING A DIRECT OR INDIRECT SUBSIDIARY OF THE BANK OF NEW YORK MELLON CORPORATION.
Business
The details supplled relate to: Partnership, Corporation, or Organization Name CRD Number (if any)
THE BANK OF NEW YORK SECURmES JAPAN CO.,
LTD.
The Partnership, Corporation, or Organization
o controls applicant
a Is controlled by applicant
G: is under common control with applicant
Business Address
Street i
Street 2
UCHISAIWAI-CHO, CHIYODA-KU
FUKOKU SEIMEI BUILDING, 6F, 2-2-2
City
TOKYO
State
Country Zip/Postal Code
JAPAN
Effective Date (MMlDDlYV) OB/26/2005
Termination Date (MMlDDlYV)
If Yes, provide cO!Jntry of domicile or
foreign entity? incorporation JAPAN c;Yes ONo Activities of this Partnership, Corporation, or Organization:
Securities Activities
G: Yes a No
o Yes C! No
Is Partnership, Corporation or Organization a
Investment Advisory Activities
Briefly describe the control relationship
ENTI is UNDER COMMON CONTROL WITH THE APPUCANT BY REASON OF BEING A DIRECT OR INDIRECT SUBSIDIARY OF THE BANK OF NEW YORK MELLON CORPORATION.
I
Business
The details supplied relate to: Partnership, Corporation, or Organization Name CRD Number (if any) EZE CASfLE TRNSACTON SERVICES LLC 132246
.The _ E.a rtnersh ip,._Co rporatio n,_o r_Org a niza tlon
o controls applicant
o is controlled by applicant
c; is under common control with applicant
Street 1 Street 2
City State Country BOSTON Massachusett USA
12 FARNSWORTH STREi:, 6TH FLOOR
Business Address
Zip/Postal Code
02210
htts:llcrd.fia.orgIDBDW/CRDJRM _ BDViewHist.aspx?FR~PrniO&FL~&Ref... 71/2008
Case 3:08-cv-03141-WHA
Document 26-2
Filed 07/07/2008
Page 26 of 100
Page 26 of 190
Web CRD - BD Historical Filing)) All Pages (User Name: gelose, OrgID: 50018J
foreign entity?
Effective Date (MMlDDlVY) 04/06/2004 Is Partnership, Corporation or Organization a
Termination Date (MMlODlYVYV)
If Yes, provide country of domicile or incorporation
0Yes iNo Activities of this Partnership, Corporation, or Organization:
Securities Activities
ø Yes ONo
Investment Advisory Activities Co Yes ø No
Briefly describe the control relationship
ENTI is UNDER COMMON CONTROL WITH THE APPLICANT BY REASON OF BEING A DIRECT OR INDIR.ECT SUBSIDIARY OF THE BANK OF NEW YORK MELLON CORPORATION.
Business
The details supplied relate to: Partnership, Corporation, or Organization Name CRD Number (if any)
DHF SERVICES LLC 139308
o controls applicant
o is controlled by applicant
The Partnership, Corporation, or Organization
i; is under common control with applicant
Business Address
Street i
Street 2
32 OLD SUP, 11TH FLOOR
City
NEW
State
YORK
Country Zip/Postal Code
New York
USA 10005
incorporation
Effective Date (MMjDDlVY) 04/27/2005 Is Partnership, Corporation or Organization a foreign entity?
TermInation Date (MMlDDlYY)
If Yes, provide country of domicile or
OYes l!No Activities of thIs Partnership, Corporation, or Organization:
Securities Activities
C;i Yes 0 No
Investment Advisory Activities 0 Yes i; No
Briefly describe the control relationship
ENIILUS_UNDER_COMMON_CONIROL_WIIILTH EJ\~~UCANT_BY_EITHER_BEING.A.DIRECT_OR_ INDIRECT SUBSIDIARY OF THE BANK OF NEW YORK MELLON CORPORATION.
Business
The details supplied relate to:
Partnership, Corporation, or Organization Name CRD Number (if any)
LIQUID
The Partnership, Corporation, or Organization
o controls applicant
o is controlled by applicant
POINT, LLC 47658
htts://crd.fia.orgiRMDBDW/CRDJRM _ BDViewHist.aspx?FR~PritO&FO&Ref.. 7/3/2008
Case 3:08-cv-03141-WHA
Document 26-2
Filed 07/07/2008
Web CRD - BD Historical Filing)) All Pages (User Name: gelose, OrgID: 50018J
Page 27 of 100 Page 27 of! 90
~ is under common control with applicant
Business Address
Street 1 Street 2
311 SOUTH WACKER DRIVE
City
CHICAGO
State
Illnois
Country Zip/Postal Code
If Yesi provide country of domicile or foreign entity? incorporation uYes (! No Activities of this Partnership, Corporation, or Organization:
Securities Activities
Effective Date (MM/DDlVY) 07/02/2007 Is Partnership, Corporation or Organization a
USA 60606
Termination Date (MM/DD/YV)
I Yes ONo
o Yes G:No
Investment Advisory Activities
Briefly describe the control relationship
ENTI is UNDER COMMON CONTROL WITH THE APPUCANT BY REASON OF BEING EITHER A DIRECT OR INDIRECT SUBSIDIARY OF THE BANK OF NEW YORK MELLON CORPORATION.
I
BusineSs
The details suppJJed relate to: Partnership, Corporation, or Organization Name CRD Number (if any)
BNY INVESTMENT ADVISORS 112559
U controls applicant
o is controlled by applicant
The Partnership, Corporation, or Organization
i is under common control with applicant
Business Address
Street 1
Street 2
1633 BROADWAY
City
NEW
State
YORK
New York
Effective Date (MM/DD/YV) 03/01/1999 Is Partnership, Corporation or Organization a
USA 10019
Country Zip/Postal Code
Termination Date (MM/DO/YYYY)
foreign entity?
-O-Yes-i-No
If Yes, provide country of domicile or incorpor'ation
Activities of this Partnership, Corporation, or Organization: Secu rities Activities o Yes GiNo
Investment Advisory Activities t! Yes 0 No
Briefly describe the control relationship
ENTI IS UNDER COMMON CONTROL WITH THE APPUCANT BY REASON OF BEING A DIRECT OR INDIRECT SUBSIDIARY OF THE BANK OF NEW YORK MELLON CORPORATION.
I
Business
r~he details supplied relate to:
hits:/lcrd.finr.orgiRMDBDW/CRD JRM ßDViewHist.aspx?FR~Priio&FV=O&Ref.. 7/312008
Case 3:08-cv-03141-WHA Document 26-2 Filed 07/07/2008 Page 28 of 100 Web CRD -BD Historical Filing)) All Pages (User Name: gelose, Orgil: 500t8) Page 28 of 190
Partnership, Corporation, or Organization Name CRD Number (if any)
THE BOSTON COMPANY ASSET MANAGEMENT LLC 105616
The Partnership, Corporation, or Organization
o controls applicant
o is controlled by applicant
t; is under common control with applicant
Business Address
Street i
Street 2
ONE BOSTON PLACE
MELLON FINANCIAL CENTER
City
BOSTON
State
Massachusett
USA 02108
Country Zip/Postal Code
Effective Date (MMjDDjVY) 07(01(2007 Is Partnership, Corporation or Organization a
termination Date (MMjDDjYY)
foreign entity?
If Yes, provide country of domicile or incorporation
OYes ("No Activities of this Partnership, Corporation, or Organization:
Securities Activities
a Yes GiNo
Investment Advisory Activities
(!) Yes aNa
Briefly describe the control relationship
ENTI is UNDER COMMON CONTROL WIH THE APPUCANT BY REASON OF BEING A DIREcr OR INDIREcr SUBSIDIARY OF THE BANK OF NEW YORK MELLON CORPORATION.
Business
The details supplied relate to:
PartnershIp, Corporation, or Organization Name CRD Number (if any)
BOSTON SAFE ADVISORS, INC. 105701
The Partnership, Corporation, or Organization
o controls applicant
o is controlled by applicant
Gi is under common control with applicant
Business Address
Street 1
Street 2
State -.. -Country-ZiplPostal.Code
ONE BOSTON PLACE
City
BOStON
Massachusetts USA 02108
Effective Date (MMjDDjVY) 07(01(2007 Is Partnership, Corporation or Organization a
Termination Date (MMjDDjYV)
foreign entity? incorporation UYes (! No Activities of this Partnership, Corporation, or OrganizatIon:
Securities Activities
o Yes GiNo
If Yes~ provide country of domicile or
Invesment Advisory Activities
htts:ffcrd.finra.orgfDBDW(CRDJRM _ BDViewHist.aspx?FR~PritO&FL=O&ReL. 7(3/2008
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Case 3:08-cv-03141-WHA
Document 26-2
Filed 07/07/2008
i Yes ONo Briefly describe the control relationship
ENTIT is UNDER COMMON CONTROL WITH THE APPUCANT BY REASON OF BEING A DIREcr OR INDIRECT SUBSIDIARY OF THE BANK OF NEW YORK MELLON CORPORATION.
Business
The details supplied relate to:
THE DREYFUS CORPORATION 105642
The Partnership, Corporation, or Organization
o controls applicant
o is controlled by applicant
Partnership, corporation, or Organization Name CRD Number (if any)
(! is under common control with applicant
Business Address
Street 1
Street 2
200 PARK AVENUE
City
NEW
S.tate
YORK
Country
USA
Zip/Postal Code
New York
foreign entity?
OYes C!No
Effective Date (MMlDD/YV) 07/01/2007 Is Partnership, Corporation or Organization a
10166 Termination Date (MM/DDlYV)
If Yes, provide country of domicile or incorporation
Activities of this Partnership, Corporation, or Organization: Securities Activities o Yes SNo
Investment Advisory Activities (! Yes 0 No
Briefly describe the control relationship
ENT is UNDER COMMON CONTROL WITH THE APPUCANT BY REAON OF BEING A DIRECT OR
INDIRECT SUBSIDIARY OF THE BANK OF NEW YORK MELLON CORPORATION.
Business
The details supplied relate to:
Partnership, Corporation, or Organization Name CRD Number (if any)
EACM ADVISORS LLC 132057
The Partnership, Corporation, or Organization
-G-contro/s-applicant
o is controlled by applicant
Î!i is under common control with appticant
Business Address
Street 1
Street 2
City State NORWALK Connecticut
200 CONNECTCUT AVENUE
Effective Date (MM/DDlVVVY)
Country Zip/Postal Code
USA
Termination Date (MMlDD/YV)
hlts:/Icrd.fi.orgIRMDBDW ICRD _ FR _ BDViewHis'.aspx?FR~PrintO&FL~O&Ref... 7/3/2008
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07/01/2007 Is Partnership, Corporation or Organization a foreign entity?
Yes, provide country of domicile or incorporation
If
OYes (!No Activities of this Partership, Corporation, or Organization:
Securities Activities
o Yes ~No
Investment Advisory Activities l! Yes 0 No
Briefly describe the control relationship
ENTI is UNDER COMMON CONTROL WITH THE APPllCANT BY REASON OF BEING A DIRECT OR INDIRECT SUBSIDIARY OF THE BANK OF NEW YORK MELLON CORPORATION.
Business
The details supplied relate to:
partnership, Corporation, or Organization Name CRD Number (if any)
FOUNDERS ASSET MANAGEMENT LLC 44645
The Partnership, Corporation, or Organization
o controls applican
Free Declaration in Support - District Court of California - California
| File Size: | 6,259.5 kB |
| Pages: | 205 |
| Date: | September 6, 2008 |
| File Format: | |
| State: | California |
| Category: | District Court of California |
| Author: | unknown |
| Word Count: | 10,358 Words, 65,603 Characters |
| Page Size: | Letter (8 1/2" x 11") |
| URL |
https://www.findforms.com/pdf_files/cand/204706/26.pdf |
| Download Declaration in Support - District Court of California ( 6,259.5 kB) |
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