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	Dean Witter Reynolds - Wikipedia, the free encyclopedia
		Dean Witter Reynolds was an American stock brokerage catering to the middle class.
		Dean Witter was a retail brokerage firm that began in San Francisco in 1924.
		In 1938 Dean Witter established its national research department, and by 1945 was one of the first retail securities firms to formally train account executives.
	en.wikipedia.org /wiki/Dean_Witter_Reynolds (374 words)

	Dean Witter Reynolds Inc., n/k/a Morgan Stanley DW, Inc., Mark Rodgers, and Paul Grande: Admin. Proc. Rel. No. 34-46578 ...
		Dean Witter, a wholly-owned subsidiary of Morgan Stanley Dean Witter and Co., is a Delaware corporation registered with the Commission as a broker-dealer pursuant to Section 15(b) of the Exchange Act.
		Dean Witter requires its compliance department to, among other things, maintain policies and procedures reasonably designed to detect and prevent potentially violative activities, and provide tools to branch managers and other supervisors to aid them in discharging their supervisory duties.
		Dean Witter management was never aware of this procedural breach because Dean Witter did not prepare the concentration report during this critical time period due to a shortage of available personnel.
	www.sec.gov /litigation/admin/34-46578.htm (4240 words)

	Converted WP file /web/download/n/opinion/Holding/98ca-096
		Dean Witter answered, asserting that at the time it was served, it only held $930 belonging to the judgment debtor.
		Dean Witter also argued that it was not under any duty to stop payment on the checks it had written and issued to Tucker-Mehler before it was served with the writ of garnishment.
		We decline Dean Witter's request that this Court fix the attorney fees at the trial level based on the record and remand to the trial court to determine the amount of attorney fees to be awarded to Dean Witter under Section 35-12-16(B).
	www.supremecourt.nm.org /pastopinion/VIEW/98ca-096.html (3574 words)

	Dean Witter Reynolds v. Howsam
		Howsam further alleged that Dean Witter, again through its agents, continued to inform her that the investments were sound, despite indications to the contrary, which impeded her understanding of the true nature of the investments until late 1994.
		Dean Witter asserted that the question of arbitrability of Howsam's claims was for the court, and not for NASD arbitrators, to decide.
		Dean Witter further argued that, even if the court were to look to the 1992 ACCESS Agreement, it did not provide "clear and unmistakable" evidence that the parties agreed to submit the question of arbitrability to the chosen arbitration organization.
	www.lawmemo.com /emp/docs/10/howsam.htm (5750 words)

	[No title]
		The amount of money Dean Witter would permit an account holder to borrow on margin was calculated based on the value of the assets held in the account.
		The Dean Witter December 1992 statement showed the Trust's receipt on December 2 of 150,000 shares of Coastal HealthCare, with an increase in asset value from $100,475.00 to $4,984,275.00.\par \tab The December statement, however, showed more than the return of the Coastal HealthCare stock to the Trust account.
		Dean Witter filed an adversary proceeding against Printy in bankruptcy court on August 24, 1994.\par }\pard \qc\sl480\tx-1728\tx-1008\tx-288\tx1440\tx2160\tx2880\tx3600\tx4320 {\plain \f2 }{\plain \b\f2 III.\par }\pard \qc\sl480\tx-1728\tx-1008\tx-288\tx1440\tx2160\tx2880\tx3600\tx4320 {\plain \b\f2 }{\plain \b\ul\f2 ANALYSIS}{\plain \f2 \par }\pard \qj\sl480\tx-1728\tx-1008\tx-288\tx1440\tx2160\tx2880\tx3600\tx4320 {\plain \f2 \tab The first issue is whether the bankruptcy debt falls under \'a7 523(a)(2)(A) or \'a7 523(a)(6) of the Bankruptcy Code.
	www.law.emory.edu /1circuit/rtfs/apr97/96-2195.01a.rtf (2991 words)

	Dean Witter Foundation - Contact
		Witter was a graduate of The Hotchkiss School (1947) and Yale University (1951) and received a Masters in Business Administration from the Graduate School of Business, Stanford University (1953), after which he served on active duty in the U.S. Air Force Reserve.
		Witter remained committed to his principles and beliefs: he built his business the way his father, Dean Witter, preached that it should be done: one customer at a time.
		Witter married the former Susan Rentschler in 1956, and they have 4 children: Virginia Woods, of Altamont, NY; Elizabeth Tacy Mayer, of Los Altos, CA; Sidney Daire, of New York City; and William P. Witter, of Boulder, CO. There are 9 grandchildren.
	www.deanwitterfoundation.org /News.html (514 words)

	02-1418 -- Dean Witter Reynolds Inc. v. Variable Annuity Life Insurance Co. -- 06/29/2004
		In its motion for summary judgment, Dean Witter argued that VALIC was Mrs.
		Dean Witter has not pointed to any agreement, express or implied, indicating that the funds were held specially, and we therefore conclude that Mrs.
		According to counsel's representations at oral argument, Dean Witter's conduct was brought before the district court pursuant to C.R.S. This statute provides a procedural mechanism whereby negligence or fault may be attributed to non-parties, thus relieving a party-defendant from the portion of liability attributed to the non-party.
	www.kscourts.org /ca10/cases/2004/06/02-1418.htm (6447 words)

	Dean Witter/Discover and Nationsbank - Case #: 96-593-CIV-T-25E - JURY TRIAL DEMANDED
		Dean Witter Distributors, Inc., as of December 31, 1993, was a wholly-owned subsidiary of Dean Witter Discover and Company with its principal place of business in New York.
		Dean Witter Discover and Company was motivated to enter the joint venture with NationsBank Corporation at least in part by a desire to gain access to the tremendous customer deposit base of NationsBank Corporation's banking subsidiaries.
		Defendant Dean Witter Discover and Company is the parent corporation of and was vested with control over Dean Witter Venture, Inc., one of two general partners of NationsSecurities; Dean Witter InterCapital, Inc., the investment adviser to the Trust; and Dean Witter Distributors, Inc., the distributor of the prospectus for the Trust.
	securities.stanford.edu /1004/DWD96/001.html (8461 words)

	Fraud Charge Filed Against Dean Witter (Site not responding. Last check: 2007-10-08)
		Dean Witter sold more than $2 billion of shares in the funds to more than 100,000 investors, many of them beyond retirement age and some of them elderly, the association's regulatory arm said in a complaint filed yesterday.
		Dean Witter told its brokers to promote the funds as safe but higher-yielding alternatives to certificates of deposit without adequately disclosing how much riskier the funds were, the complaint said.
		The prospect of litigation with regulators came as Morgan Stanley, which acquired Dean Witter in 1997, was battling the Equal Employment Opportunity Commission over sexual discrimination complaints and trying to recover from a public battle with a former employee who said he had been fired because he was fl and perceived to be gay.
	www.mannvernd.is /english/news/nyt.fraud.html (1012 words)

	HOWSAM V. DEAN WITTER REYNOLDS, INC.
		Per respondent Dean Witter Reynolds, Inc.’s standard client agreement, petitioner Howsam chose to arbitrate her dispute with the company before the National Association of Securities Dealers (NASD).
		The word “eligible” in the NASD Code’s time limit rule does not, as Dean Witter claims, indicate the parties’ intent for the rule to be resolved by the court prior to arbitration.
		Parties to an arbitration contract would normally expect a forum-based decisionmaker to decide forum-specific procedural gateway matters, and any temptation here to place special antiarbitration weight on the word “eligible” in §10304 is counterbalanced by the NASD rule that “arbitrators shall be empowered to interpret and determine the applicability” of all code provisions, §10324.
	straylight.law.cornell.edu /supct/html/01-800.ZS.html (598 words)

	Printy v. Dean Witter Reynolds, Inc.
		The specific allegation in the counterclaim that Dean Witter refused to correct the statements in the Trust account "when its errors were called to its attention" has no support in the record.
		Dean Witter has taken the position throughout the country in other arbitrations pursuant to its customer agreements that punitive damages are not available under New York law or any other law.
		Dean Witter has stated publicly its view that punitive damages are not available in arbitrations pursuant to its customer agreements.
	www.law.emory.edu /1circuit/apr97/96-2195.01a.html (3901 words)

	The Dean Witter Foundation (Site not responding. Last check: 2007-10-08)
		Dean Witter was born in Wausau, Wisconsin in 1887.
		Dean Witter graduated from the University of California, Berkeley in 1909, and from 1909 worked for Louis Sloss and Company as a salesman on the California coast.
		Dean Witter interrupted his career to volunteer for duty in both World War I and World War II, during which he attained the rank of colonel.
	www.deanwitterfoundation.org (366 words)

	Dean Witter Launches Fund Wrap Program
		As of press time in early September, Dean Witter was set to launch its mutual fund wrap program--the last of the wirehouses to do so.
		Dean Witter reps also report that the program won't be portable.
		Dean Witter's proprietary funds have not had multiple share classes, another reason Greenwald says proprietary funds won't be part of the program's debut.
	registeredrep.com /mag/finance_dean_witter_launches/index.html (436 words)

	6/15/99 BW Online--How the Y2K Bug Could Bite M&A Advisers
		Moreover, Dean Witter's memos were filled with nearly two pages of legalese intended to guard it against such lawsuits.
		His March opinion stated that "[I]t may well be that Dean Witter will be shown to have been in the business of supplying information about Antrim that potential buyers, such as Sunquest, could be expected to rely upon." Dean Witter would not comment on the status of the litigation.
		Even if Dean Witter did not hide the Y2K breakdowns, Sunquest claims the investment bank should be held to a different standard, which requires that financial advisers -- including investment bankers and accountants -- candidly report what are called "material events," a legal term for problems that substantially affect a company's fortunes.
	www.businessweek.com /bwdaily/dnflash/june1999/nf90615a.htm (1480 words)

	Scott Rosenberg's Links & Comment
		Many of them point to an August column by Jimmy Breslin which asserts that "His father was the head of Dean Witter stocks on Wall Street." Comments posted here and there by Dean supporters challenge this statement by pointing out that Dean Witter is not a firm founded by Messrs.
		Dean and Witter; rather, a guy named Dean (first name) Witter (last name) gave his name to the company when he founded it in 1924.
		And Time reports that the firm he worked for, and indeed was a "top executive" at, was none other than Dean Witter (known at that point in its corporate evolution as Dean Witter Reynolds).
	blogs.salon.com /0000014/2003/10/01.html (975 words)

	law.com - Dean Witter Loses Bid to Kill Investors' Suit
		A securities fraud suit by investors against Dean Witter Reynolds can go forward if the investors can prove they did not have enough information to file the case until after the Sarbanes-Oxley corporate responsibility law went into effect in 2002.
		The trades, for which a Dean Witter broker, Mark Rodgers of Belleair, Fla., used investors' accounts to manipulate the price of e-Net stock, occurred between January and August of 1998.
		When Rodgers left Dean Witter for another company, he stopped the activity that caused the e-Net stock price to rise -- and the stock fell from $17.875 to $2.718 in less than a month.
	www.law.com /jsp/article.jsp?id=1117789517322 (905 words)

	Dean Witter Reps Taking on Morgan IPOs
		When Morgan Stanley and Dean Witter Discover announced their merger this year, many on Wall Street speculated about a possible culture clash between a white-shoe investment-banking firm and its new "9-to-5" retail partner.
		Dean Witter brokers say a new work ethic is descending on them, and they're expected to take down an unexpectedly large portion of Morgan's IPOs.
		Morgan Stanley Dean Witter raised $8.35 billion in 55 deals through Aug. 22, according to Securities Data Co., placing it third behind Merrill Lynch and Goldman Sachs.
	registeredrep.com /mag/finance_dean_witter_reps (430 words)

	OSCN Found Document:Wilkinson v. Dean Witter Reynolds, Inc.
		Dean Witter Reynolds sought no change in the IRA, and the IRA continued to contain no arbitration provision.
		The IRA account agreement prohibited Dean Witter Reynolds from investing or reinvesting IRA assets except at the direction of Wilkinson, and expressly stated that Dean Witter Reynolds had no discretionary investment responsibility.
		Further, Dean Witter Reynolds could have easily presented Wilkinson with a version of the IRA account agreement that called for arbitration at any time before the dispute arose, but Dean Witter Reynolds chose not do so.
	www.oscn.net /applications/oscn/deliverdocument.asp?citeid=20406 (955 words)

	Bibbo v. Dean Witter Reynolds Inc. (Site not responding. Last check: 2007-10-08)
		Bibbo brought an action against Dean Witter, alleging that Dean Witter violated Ohio law when it retained interest earned from its investment of Bibbo's money (referred to as "margin money" or "margin funds"), which was kept on deposit with Dean Witter as a partial guarantee that Bibbo would meet certain obligations under an investment contract.
		Bibbo was a customer of Dean Witter, a large licensed securities broker and dealer, which maintained a commodities futures account on his behalf.
		In its motion to dismiss, Dean Witter maintained that: (1) Bibbo's state law claim under O.R.C. § 1309.18 is pre-empted by Regulation 1.29; and (2) O.R.C. § 1309.18 does not apply to the conduct of which Bibbo complains.
	lw.bna.com /lw/19980818/973538.htm (2562 words)

	Dean Witter Reynolds -- Facts, Info, and Encyclopedia article (Site not responding. Last check: 2007-10-08)
		Dean Witter Reynolds was an (A native or inhabitant of the United States) American (additional info and facts about stock broker) stock brokerage.
		In 1994 20% of the company was spun off from Sears and subsequently became Dean Witter Discover.
		In the year 2000 two Dean Witter Reynolds representatives John B. Kemp and Lawrence J. Solari Jr were charged by the (additional info and facts about National Association of Securities Brokers) National Association of Securities Brokers with misrepresenting the risks associated with closed end products.
	www.absoluteastronomy.com /encyclopedia/d/de/dean_witter_reynolds.htm (219 words)

	Wall Street firms to merge - Feb. 5, 1997
		Dean Witter also rose 1-1/2 to 40-1/8 on volume of 2.8 million shares.
		He added that merging Morgan Stanley's strength as a leading investment bank with a hand in mutual funds and Dean Witter's strength in retail brokering and credit-card services would be a perfect fit for Wall Street.
		Consider the combined credentials of Morgan Stanley and Dean Witter: market capitalization of $21 billion, $270 billion in assets under management, 9,000 brokers, a massive securities underwriting operation and 39 million holders of the Discover credit card.
	money.cnn.com /1997/02/05/deals/morgan (680 words)

	Howsam v. Dean Witter Reynolds
		The underlying controversy arises out of investment advice that Dean Witter Reynolds, Inc. (Dean Witter), provided its client, Karen Howsam, when, some time between 1986 and 1994, it recommended that she buy and hold interests in four limited partnerships.
		Dean Witter argues that, in any event, i.e., even without an antiarbitration presumption, we should interpret the contracts between the parties here as calling for judicial determination of the time limit matter.
		Dean Witter notes the Code’s time limit rule uses the word “eligible.” That word, in Dean Witter’s view, indicates the parties’ intent for the time limit rule to be resolved by the court prior to arbitration.
	www.lawmemo.com /emp/docs/us/howsam.htm (2325 words)

	TLPJ - Briefs - Howsam v. Dean Witter Reynolds - May 28, 2002
		Dean Witter responded by filing suit against Howsam in the United States District Court for the District of Colorado, seeking a declaration that Howsam’s claims were untimely under the NASD’s rules and seeking to enjoin the arbitration.
		Dean Witter argued that the timeliness of Howsam’s arbitration filing is a question of the “arbitrability” of her claims that must be decided by a court.
		The district court granted Howsam’s motion to dismiss Dean Witter’s claims, holding that the arbitration agreement contained sufficient evidence that the parties intended to submit disputes over the arbitrability of claims to arbitration.
	www.tlpj.org /briefs/howsam.htm (3748 words)

	William D. Witter, Inc. Announces Executive Appointments: Dean Witter III as Chairman and Victor Ugolyn as President ...
		We are fortunate to have here at Witter a unique combination of a collegial management style and entrepreneurial investment professionals, focused on small-cap companies and attentive client service which I intend to continue to maintain and build upon." Mr.
		Witter added, "Our firm has long grown from its initial base of being the investment management firm for solely our family to now one that encompasses both institutional and other high-net-worth families and individuals.
		William D. Witter, Inc. was founded in 1977 as an investment advisor to a small group of clients, primarily family and friends.
	www.prnewswire.com /cgi-bin/stories.pl?ACCT=109&STORY=/www/story/02-28-2005/0003106967&EDATE= (894 words)

	10 Wn.2d 553, HELEN C. GOULD, Appellant, v. DEAN WITTER et al., Respondents
		MILLARD, J. This action was instituted to recover against Dean Witter and others, doing business under the partnership name of Dean Witter & Company, and John Brazier for damages alleged to have been sustained by reason of the failure of the defendants to execute plaintiff's order to cover her short sales in the grain market.
		Defendants denied that plaintiff ever ordered her short sales covered, and pleaded, as an affirmative defense, ratification of plaintiff's failure to execute the order, and further pleaded, affirmatively, accord and satisfaction in that, on May 23, 1940, plaintiff accepted from defendants $1,303.64 as the balance due to her in full.
		Dean Witter has no more chance to know about international things that the governments don't know themselves than I have.
	www.mrsc.org /mc/courts/supreme/010wn2d/010wn2d0553.htm (3229 words)

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