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Topic: Dean Witter Reynolds

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	Dean Witter Reynolds Inc., n/k/a Morgan Stanley DW, Inc., Mark Rodgers, and Paul Grande: Admin. Proc. Rel. No. ...
		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)

	99-1320 -- Dean Witter Reynolds Inc. v. Howsam -- 08/09/2001
		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.kscourts.org /ca10/cases/2001/08/99-1320.htm (5712 words)

	FindLaw for Legal Professionals - Case Law, Federal and State Resources, Forms, and Code
		Byrd filed a complaint against Dean Witter in the United States District Court for the Southern District of California, alleging a violation of 10(b), 15(c), and 20 of the Securities Exchange Act of 1934, 15 U.S.C. 78j(b), 78o(c), and 78t, and of various state-law provisions.
		Dean Witter accordingly filed a motion for an order severing the pendent state claims, compelling their arbitration, and staying arbitration of those claims pending resolution of the federal-court action.
		Because Dean Witter assumed that the federal securities claim was not subject to the arbitration provision of the contract and could be resolved only in the federal forum, it did not seek to compel arbitration of that claim.
	caselaw.lp.findlaw.com /scripts/getcase.pl?court=us&vol=470&invol=213 (4084 words)

	Id-179
		Upon consideration of the Division's motion, as well as Dean Witter's responsive filings, I issued an order stating that the Division's motion would be treated as a motion to strike affirmative defenses, and deferred ruling on the motion until after the hearing and the close of all the evidence.
		Dean Witter's branch managers are primarily responsible for direct supervision of the business conducted in their branch offices and the activities of each account executive in that branch.
		Dean Witter and the Division agreed to toll the applicable statute of limitations as of January 23, 1998.
	www.sec.gov /litigation/aljdec/id179rgm.htm (18465 words)

	Lewis B. Freeman v. Dean Witter Reynolds (Florida 12/19/2003)
		In this case, under the receiver's theory, Dean Witter would apparently have been required to refuse to make payments that were legal on their face in order to fulfill some "fiduciary duty." We agree with the federal court that these allegations fail to state a cause of action under Florida law.
		As to count VII, the count alleging that Dean Witter was negligent in the supervision and retention of Mr.
		Based upon the Dean Witter 1997 annual summary statement that appears in our record, it appears that many of these individual claims would not be sufficient in size to invoke the jurisdiction of circuit court and that they would need to be handled individually in county court.
	www.assetprotectionbook.com /FL_Freeman_Dean_Witter_2003.htm (5737 words)

	DAVID L. PRINTY, Debtor (Site not responding. Last check: 2007-10-17)
		Dean Witter also argues that the doctrine of res judicata applies to preclude determination of all issues raised in the Counterclaim and compels summary judgment in its favor with respect to the three counts of the Debtor's Counterclaim.
		In his view, Dean Witter's injury was the result of its negligence or its breach of contract with respect to opening the account, preparing accurate monthly statements or monitoring the account.
		Dean Witter shall have a nondischargeable claim against the Debtor in the amount of the arbitration award as confirmed by the Minnesota District Court.
	www.craigmacauley.com /cases/10-13-95.htm (6322 words)

	02-1418 -- Dean Witter Reynolds Inc. v. Variable Annuity Life Insurance Co. -- 06/29/2004
		Dean Witter has not pointed to any agreement, express or implied, indicating that the funds were held specially, and we therefore conclude that Mrs.
		Dean Witter, on the other hand, submitted evidence that its Houston office has no record of processing Check I, though such a record would be kept in the ordinary course of its business.
		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)

	Fraud Charge Filed Against Dean Witter (Site not responding. Last check: 2007-10-17)
		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)

	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)

	MLM Law - Lawyer Grimes & Reese PLLC - Attorney Specializing in Multilevel Marketing - Harrison v. Dean Witter ...
		Dean Witter raises three issues which must be addressed: First, Dean Witter argues that the district court erred in denying Dean Witter's motion for judgment as a matter of law on the question of control person liability.
		Second, Dean Witter alleges the district court erred in denying its motion for a new trial on the basis that the evidence was insufficient for the jury to have found the justifiable reliance necessary to establish a primary securities fraud in violation of Section 10(b).
		Dean Witter further argues there is no way to control mail to an agent's home, or what its employees do in their own personal bank accounts away from Dean Witter, or what occurs when its employees meet a customer away from the office and transact their business in cash.
	www.mlmlaw.com /library/cases/mlm/federal/7harrison.htm (6174 words)

	The MoBar Courts Bulletin (Site not responding. Last check: 2007-10-17)
		Howsam was a client of Dean Witter Reynolds, and she signed a client service arbitration agreement.
		Howsam accused Dean Witter of misrepresentation and chose to arbitrate her claim with NASD.
		Dean Witter sued Howsam asking the court to hold the dispute was ineligible for arbitration because of the six-year time limit in the NASD rules.
	www.mobar.org /publications/courtsquery.php?item=262 (455 words)

	[No title]
		The Fraudulent Coordination of Quote Movements Dean Witter Reynolds, Inc. engaged in, or caused, the coordinated entry of quotations on Nasdaq in violation of Sections 15(c)(1) and (2) of the Exchange Act and Rules 15c1-2 and 15c2-7 thereunder, in one or more of the respects described in Section II.C.1.
		By reason of the foregoing, Dean Witter Reynolds, Inc. willfully violated Sections 15(c)(1) and (2) of the Exchange Act, and Rules 15c1-2 and 15c2-7 thereunder, and failed reasonably to supervise its Nasdaq trading personnel within the meaning of Section 15(b)(4)(E) of the Exchange Act.
		Dean Witter Reynolds, Inc. shall cease and desist from committing or causing any violation of, and committing or causing any future violation of Sections 15(c)(1) and (2) of the Exchange Act, and Rules 15c1-2 and 15c2-7 thereunder; 2.
	www.sec.gov /litigation/admin/34-40905.txt (751 words)

	W&D \| Publications \| Supreme Court Updates \| Howsam v. Dean Witter Reynolds, Inc. (01-800), United States v. Bean ...
		The Court concluded its analysis by noting that NASD arbitrators are likely to be experts on their own rule, and thus it is reasonable to assume that the parties would have expected the decisionmaker with comparative expertise to resolve the dispute.
		Finally, the Court rejected Dean Witter's argument that the time limit rule's use of the word "eligible" -- language that was effectively incorporated into the parties' agreement -- reflected an intent to have a court decide the applicability of that rule.
		According to the Court, any inference from use of the word "eligible" was offset by a different NASD rule (also incorporated into the agreement) that states that arbitrators are empowered to interpret and apply all provisions under the NASD rules.
	www.wiggin.com /pubs/scupdate_template.asp?ID=153349712003 (1468 words)

	Bibbo v. Dean Witter Reynolds Inc. (Site not responding. Last check: 2007-10-17)
		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)

	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.
	supct.law.cornell.edu /supct/html/01-800.ZS.html (598 words)

	Securities Law Current Events - from the Securities Law Home Page News
		While Dean Witter's written policies required that a switch letter be obtained from the client before the trade involving the switch be processed, they were not enforced.
		Dean Witter received such letters from clients, if at all, after switch transactions had been executed.
		Dean Witter agreed to reimburse customers $276,702 in charges and interest, to pay a civil penalty in the amount of $200,000, and to retain an independent consultant to review its procedures.
	www.seclaw.com /docs/fundlaw/mutualswitch82900.htm (545 words)

	USCA6 Opinion 00a0150p.06
		Woodrow Dawahare appeals from the district court's denial of his motion to vacate the arbitration award he obtained against Adam Spencer and Dean Witter Reynolds, Inc. Dawahare argues that because the damages awarded were grossly inadequate and bore no relationship to the evidence submitted, the award itself shows evident partiality.
		After Dean Witter learned that Dawahare's son had complaints about the handling of his father's account, Spencer was fired.
		It is possible to argue that the arbitrators misapplied the law of damages, that is, punitive damages would only be warranted for egregious conduct by Dean Witter and, in that case, a compensatory award of less than 5% of the damages alleged is likely too low.
	www.michbar.org /opinions/us_appeals/2000/042700/6919.html (2275 words)

	OSCN Found Document:Wilkinson v. Dean Witter Reynolds, Inc. (Site not responding. Last check: 2007-10-17)
		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)

	Appellate.net
		Dean Witter Reynolds, Inc. (No. 01-800), to decide whether a court or the arbitrator should determine whether a claim seeking arbitration is time-barred under Section 10304.
		As required by the NASD, she executed a submission agreement which stated that the arbitration would be conducted according to the NASD Code.
		Dean Witter Reynolds filed a complaint seeking declaratory and injunctive relief in the United States District Court for the District of Colorado, asserting that Howsam's claim was time-barred under the NASD Code and thus non-arbitrable by the NASD.
	www.appellate.net /docketreports/sc20551190.asp (555 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)

	Global Economic Forum (Site not responding. Last check: 2007-10-17)
		Morgan Stanley Dean Witter and others associated with it may make markets or specialize in, have positions in and effect transactions in securities of companies mentioned and may also perform or seek to perform investment banking services for those companies.
		Morgan Stanley and Co. Incorporated, Dean Witter Reynolds Inc. and/or their affiliates or their employees have or may have a long or short position or holding in the securities, options on securities, or other related investments of issuers mentioned herein.
		To our readers in the United States: Morgan Stanley Dean Witter has prepared this report, Morgan Stanley and Co. Incorporated and Dean Witter Reynolds Inc. are distributing the report in the US and accept responsibility for its contents.
	www.morganstanley.com /GEFdata/digests/19990810-tue.html (3635 words)

	Itron - Company Info - News Release (Site not responding. Last check: 2007-10-17)
		Remington was most recently a managing director of Dean Witter Realty Inc. and Dean Witter Reynolds Inc. He joined Dean Witter Reynolds’ San Francisco office in 1988 where he was a lead investment banker for all asset-based and project financings and general corporate restructurings.
		While at Dean Witter, Remington was also instrumental in formulating new business strategies for Dean Witter Realty.
		Prior to joining Dean Witter, Remington was president of Steiner Financial Corporation and, earlier, its vice president of finance.
	www.itron.com /about/release_11.html (356 words)

	NASD v D’AMARO (ref. Union Trust / Jaquila Group) - www.ezboard.com
		2 Dean Witter’s 1995 manual stated that all outgoing correspondence must be submitted to the branch manager for approval prior to the mailing, and it should be “truthful, in good taste, and not inflammatory or promissory.” (CX-24, p.
		Dean Witter Reynolds, Inc., No. 96-00938-H, 160th Judicial District, Dallas County, Texas, may be used in this disciplinary proceeding in lieu of live testimony of the deponents.
		Dean Witter did not retain copies of these faxes, although its 1995 manual required that copies of all outgoing correspondence be sent to the Compliance Department at the close of each business week.
	p067.ezboard.com /fdiligizerfrm3.showMessage?topicID=44.topic (3183 words)

	Dean Witter Reynolds Inc (Site not responding. Last check: 2007-10-17)
		Dean Witter Reynolds, Inc. - Find the arguments and details of this Supreme Court case at the Oyez Project.
		Dean Witter Reynolds, Inc.' which was argued in 2002.
		Dean Witter Reynolds Inc. 889 Harrison Ave, 2nd Floor Rail Sector, Riverhead, NY 11901.
	www.brokerboost.com /resources/dean-witter-reynolds-inc.html (376 words)

	FindLaw for Legal Professionals - Case Law, Federal and State Resources, Forms, and Code
		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.
		After the Uniform Submission Agreement was executed, Dean Witter filed this lawsuit in Federal District Court.
		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.
	caselaw.findlaw.com /scripts/getcase.pl?court=US&vol=000&invol=01-800 (2614 words)

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