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Finra Award Notice to Kyle Rote Jr.

Finra Award Notice to Kyle Rote Jr.

Ratings: (0)|Views: 6,930 |Likes:
Published by DealBook
Notice of a Finra arbitration panel's award to Kyle Rote Jr. in his case against Morgan Keegan.
Notice of a Finra arbitration panel's award to Kyle Rote Jr. in his case against Morgan Keegan.

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Published by: DealBook on Feb 22, 2012
Copyright:Attribution Non-commercial

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02/22/2012

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Feb.17.201212:11PMNo.2400
P.1
FINRADisputeResolutionSoutheastProcessingCenterBocaCenterTower15200TownCenterCircle
Boca
Phone;561-416-0277
Fax:301-524868
Fln~
-"
-
..
,
ld>
umber
ofPages
includingtheCoverSheet:Date:
02117/2012
CaseNumber:09·03437
CaseName:W.KyleRote,Jr.alk/aWilliam.KRote,
Jr.,
MaryLynneRote,et
al.
vs.MorganKeegan
&
Company,
Inc.To:
PeterJ.MougeyFrom:Phone:850-435-7000Fax:850-435-7020
Bonnie
Simon\
l..Av\
I
A
SeniorCaseAdministr~orMessage:
Thisfacsimiletransmissionisintendedonlyfortheaddresseets)shownabove.Itmaycontain
Inforntutioll
thatisprivileged,confidential,orotherwiseprotectedfrcmdisclosure.Anyreview,
djssemillstion
oruseofthistransmissionoritscontents
by
personsotherthanaddresseeisstrictlyprohlbited,IfyouhavereceivedtbistransmtssionIn
error,
pleasenotifyus
hwmedlately
by
telepbone
ilt
tb.~
aJ)ovenumber.
 
Feb.17.201212:12PM
Fln~
F1nal1clallndustryRegulatoryAuthorIty
No.2400P.2
VIAFACSIMILEANDMAILFebruary17,2012Peter
J.
Mougey,
Esq.
LevinPapantonioThomasMitchellEchsner
31
e
S.
Baylen
street
Suite600Pensacola,FL
32502
Subject:FINRADisputeResolutionArbitrationNumber09-03437
W.
KyleRote,Jr.
a/k/a
William
K.
Rote,Jr.,MaryLynneRote,
etal.
vs.MorganKeegan
&
Company,Inc.DearMr.Mougey;Enclosedplease
find
thedecisionreachedbythearbitrator(s)
in
theabove-referencedmatter.Responsibility
to
PayMonetaryAwardFINRArulesprovidethatallmonetaryawardsshallbepaid
within30
days
of
receiptunless
a
motiontovacatehasbeenfiledwith
a
court
of
competentjurisdiction.Anawardshallbearinterestfromthedateoftheaward:Ifnotpaidwithin30daysofreceipt;Iftheawardisthesubjectofamotiontovacatewhichisdenied;orAsspecifiedbythepanelintheaward.Interestshallbeassessedatthelegalrate,ifany,thenprevailinginthestatewheretheawardwasrendered,orataratesetbythearbitrator(s).ExpeditedSuspensionProceedingsforNon-PaymentofAwardsArticleVI,Section3oftheFINRABy-LawsandFINRARule9554permitFINRAtosuspendorcanceltheregistrationofanyfirmorassociatedpersonthatfailstocomplywithaFINRAarbitrationaward.FirmsarerequiredtonotifyFINRAinwritingwithin30daysofreceiptofanawardthattheyortheirassociatedpersonshavepaidorotherwisecompliedwiththeaward,ortoidentifyavalidbasisfornon-payment.Wealsorequestthatprevailingclaimantsnotify
Us
inwritingwhentheirawardshavenotbeenpaidwithin30daysofreceiptoftheaward.Writtennotificationconcemingawardcomplianceorlackthereofshouldbedirectedto:
Investorprotection.Marketin1;esrity.
r.)i-;puteR~soilJti,)t\BocaC~nterIcwer1
t
56.14.l1.;0277
SO\ltheastRe!S!on~1
Offke
S;(O()
Town
center
Clrcle
f
!l01
5274·863
SlJitri
200www;finra.org
8ocF.IR"tOIl.fL
334S(i·;J.015
 
Feb.17.201212:12PMNo.2400P.3
DavidCareyFINRADisputeResolutionOneLibertyPlaza,165Broadway,52ndFloorNewYork,NY1000621854333(tel)
I
30524706(fax)
I
david.carey@finra.org(email)RighttoFileMotiontoVacateAwardFINRArulesprovidethat,unlesstheapplicablelawdirectsotherwise,allawardsrenderedarefinalandarenotsubjecttorevieworappeal.Accordingly,FINRAhasnoauthoritytovacatethisaward.AnypartywishingtochallengetheawardmustmakeamotiontovacatetheawardinafederalorstatecourtofappropriatejurisdictionpursuanttotheFederalArbitrationAct,9U.S.C.
§
10,orapplicablestatestatute.Therearelimitedgroundsforvacatinganarbitrationaward,andapartymustbringamotiontovacatewithinthetimeperiodspecifiedbytheapplicablestatute.Ifyouarenotrepresentedbycounselandwishtochallengetheaward,weurgeyoutoseeklegaladviceregardinganyrightsorremediesavailabletoyou.ForumFeesYouwillreceiveunderseparatecoveraninvoicethatreflectsthefeesassessedandanyoutstandingbalanceorrefunddue.FeesaredueandpayabletoFINRADisputeResolutionuponreceiptoftheinvoiceandshouldbesenttotheaddressspecifiedontheinvoice,Anyapplicablerefundswillalsobesentunderseparatecoverapproximately45daysafterthecasecloses.AllquestionsregardingpaymentoffeesandrefundsshouldbedirectedtoFINRAFinanceat(240)386-5910.ArbitratorEvaluatiopFINRAencouragesparties
tocomplete
Arbitrator
EvaluationFormsat
theconclusionofevery.case.We
will
utilizeyourcommentsinourongoingeffortstoevaluateandimprovetheservicesourforumprovides,YoucancompletetheArbitratorEvaluationFormonourwebsiteatwww.finra.org/arbevaluation.PartySubmissionstoArbitratorsAfteraCaseClosesFINRArulesprovidethatpartiesmaynotsubmitdocumentstoarbitratorsincasesthathavebeenclosedexceptunderthefollowinglimitedcircumstances:1)asorderedbyacourt;2)attherequestof
any
partywithin10daysofserviceofanaward,fortypographicalorcomputationalerrors,ormistakesinthedescriptionof
any
personorpropertyreferredtointheaward;or3)ifallpartiesagreeandsubmitdocumentswithin10daysofserviceofanaward.Anydocuments,
if
submitted,mustbesentthroughFINRA.

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