February 2024 - Ria - Worxco List Serve

Fwd: [Piaba-list] Re: AAA Awards
by Kimberly L. Chavers, Esq. 29 Feb '24

29 Feb '24

Below may be something helpful in combination with the survey to use with AAA - depending on the stats. Sincerely, Kim Kimberly L. Chavers, Esq. CHAVERS LAW, PLLC Direct: 941.374.7979 Fax: 941.500.5112 Email: KChavers(a)ChaversLawFL.com Website: https://ChaversLawFL.com<https://chaverslawfl.com/> Sarasota, FL* *Available for Consultation and by Appointment NOTICE: This transmission and any attachments may contain information that is privileged, confidential and exempt from disclosure under applicable law. If you are not the intended recipient, you are hereby notified that any disclosure, copying, distribution, or use of the information contained herein (including any reliance thereon) is STRICTLY PROHIBITED. If you received this transmission in error, please contact the sender and delete the material from any computer immediately. Thank you. <https://aka.ms/AAb9ysg> ________________________________ From: David Abell via Piaba-list <piaba-list(a)mail.piaba.org> Sent: Thursday, February 29, 2024 1:44:29 PM To: Howard Rosenfield <howardrosenfield(a)stockbrokerproblems.com>; stevemccauleylaw(a)gmail.com <stevemccauleylaw(a)gmail.com> Cc: piaba-list(a)mail.piaba.org <piaba-list(a)mail.piaba.org> Subject: [Piaba-list] Re: AAA Awards Here’s the link for AAA Consumer and Employment Arbitration Statistics Q4 2023 Not sure if historical records are archived or available (may want to check archive.org). https://www.adr.org/sites/default/files/document_repository/ConsumerReport_… Best regards, David David J. Abell, Esq. [cid:image001.png@01DA6B04.14959700] Ph. (505) 886-2235 This email, along with any attachments, is intended only for the use of the individual or entity to which it is addressed and may contain information that is privileged, confidential, and exempt from disclosure under applicable law. If the reader of this message is not the intended recipient, you are hereby notified that any dissemination, distribution, or copying of this communication is strictly prohibited. If you have received this communication in error, please notify the sender immediately and destroy the original message. From: Howard Rosenfield via Piaba-list <piaba-list(a)mail.piaba.org> Sent: Thursday, February 29, 2024 9:38 AM To: stevemccauleylaw(a)gmail.com Cc: piaba-list(a)mail.piaba.org Subject: [Piaba-list] Re: AAA Awards Steve: I believe that AAA consumer award information [very incomplete] is available in an excel spreadsheet somewhere in the adr.org website. I have also seen some awards on a website called ‘Level Playing Field’. As you may know, AAA will provide the list of pending and closed cases for the Respondent and their counsel in consumer arbitrations. Good luck! Howard Rosenfield 10 Waterside Drive, Suite 303 Farmington, CT 06032 860.677.4334 office 860.677.1147 fax 860.841.9933 cell ‘representing investors for more than 35 years’ From: stevemccauleylaw--- via Piaba-list <piaba-list(a)mail.piaba.org<mailto:piaba-list@mail.piaba.org>> Sent: Thursday, February 29, 2024 11:27 AM To: piaba-list(a)mail.piaba.org<mailto:piaba-list@mail.piaba.org> Subject: [Piaba-list] AAA Awards Dear Fellow Piabans: Are AAA consumer awards available on line via Lexis or some other legal research platform? Sincerely, Steven M. McCauley, Esq. Law Offices of Steven M. McCauley 3306 Clays Mill Road, Suite 104 Lexington, KY 40503 (859) 494-6732 NOTICE: The foregoing message originated from the law offices of Steven M. McCauley. It may contain legally privileged and/or confidential information. If you are not the intended recipient, do not read the message or any attachment. If you believe you received this message in error, please contact the sender and then delete the message and any attachments. Thank you. Below may be something helpful in combination with the survey to use with AAA - depending on the stats. Sincerely, Kim Kimberly L. Chavers, Esq. CHAVERS LAW, PLLC Direct: 941.374.7979 Fax: 941.500.5112 Email: KChavers(a)ChaversLawFL.com Website: [1]https://ChaversLawFL.com Sarasota, FL* *Available for Consultation and by Appointment NOTICE: This transmission and any attachments may contain information that is privileged, confidential and exempt from disclosure under applicable law. If you are not the intended recipient, you are hereby notified that any disclosure, copying, distribution, or use of the information contained herein (including any reliance thereon) is STRICTLY PROHIBITED. If you received this transmission in error, please contact the sender and delete the material from any computer immediately. Thank you. __________________________________________________________________ From: David Abell via Piaba-list <piaba-list(a)mail.piaba.org> Sent: Thursday, February 29, 2024 1:44:29 PM To: Howard Rosenfield <howardrosenfield(a)stockbrokerproblems.com>; stevemccauleylaw(a)gmail.com <stevemccauleylaw(a)gmail.com> Cc: piaba-list(a)mail.piaba.org <piaba-list(a)mail.piaba.org> Subject: [Piaba-list] Re: AAA Awards Hereâ€™s the link for AAA Consumer and Employment Arbitration Statistics Q4 2023 Not sure if historical records are archived or available (may want to check archive.org). [2]https://www.adr.org/sites/default/files/document_repository/Consumer Report_Q4_2023_2.xlsx Best regards, David David J. Abell, Esq. [cid:image001.png@01DA6B04.14959700] Ph. (505) 886-2235 This email, along with any attachments, is intended only for the use of the individual or entity to which it is addressed and may contain information that is privileged, confidential, and exempt from disclosure under applicable law. If the reader of this message is not the intended recipient, you are hereby notified that any dissemination, distribution, or copying of this communication is strictly prohibited. If you have received this communication in error, please notify the sender immediately and destroy the original message. From: Howard Rosenfield via Piaba-list <piaba-list(a)mail.piaba.org> Sent: Thursday, February 29, 2024 9:38 AM To: stevemccauleylaw(a)gmail.com Cc: piaba-list(a)mail.piaba.org Subject: [Piaba-list] Re: AAA Awards Steve: I believe that AAA consumer award information [very incomplete] is available in an excel spreadsheet somewhere in the adr.org website. I have also seen some awards on a website called â€˜Level Playing Fieldâ€™. As you may know, AAA will provide the list of pending and closed cases for the Respondent and their counsel in consumer arbitrations. Good luck! Howard Rosenfield 10 Waterside Drive, Suite 303 Farmington, CT 06032 860.677.4334 office 860.677.1147 fax 860.841.9933 cell â€˜representing investors for more than 35 yearsâ€™ From: stevemccauleylaw--- via Piaba-list <[3]piaba-list(a)mail.piaba.org> Sent: Thursday, February 29, 2024 11:27 AM To: [4]piaba-list(a)mail.piaba.org Subject: [Piaba-list] AAA Awards Dear Fellow Piabans: Are AAA consumer awards available on line via Lexis or some other legal research platform? Sincerely, Steven M. McCauley, Esq. Law Offices of Steven M. McCauley 3306 Clays Mill Road, Suite 104 Lexington, KY 40503 (859) 494-6732 NOTICE: The foregoing message originated from the law offices of Steven M. McCauley. It may contain legally privileged and/or confidential information. If you are not the intended recipient, do not read the message or any attachment. If you believe you received this message in error, please contact the sender and then delete the message and any attachments. Thank you. References Visible links: 1. https://chaverslawfl.com/ 2. https://www.adr.org/sites/default/files/document_repository/ConsumerReport_… 3. mailto:piaba-list@mail.piaba.org 4. mailto:piaba-list@mail.piaba.org Hidden links: 6. https://aka.ms/AAb9ysg

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Friday - RIA Committee Meeting
by Ashley Ringo 28 Feb '24

28 Feb '24

NOTICE Date: Friday, March 1st, 2024 Time: 12:00 pm eastern; 11:00 am central; 10:00 am mountain; 9:00 am pacific Meeting ID: 928 5796 1738 Passcode: 075712 Link: https://us06web.zoom.us/j/92857961738?pwd=M0RWOHBMT0x0TUJBQTVib2xHQXZ5QT09 Dial by your location +1 669 900 6833 US ( San Jose) +1 253 215 8782 US (Tacoma) +1 346 248 7799 US (Houston) + 1 929 205 60 99 US (New York) + 1 301 715 8592 US (Washington DC) +1 312 626 6799 US (Chicago) Find your local number: https://zoom.us/%20u/aiAdIR%25%20200S4 Sincerely, Ashley Ashley Ringo PIABA, IT Assistant 1300 McGee Dr., Ste. 112 Norman, OK 73072 Direct: 405-832-0128 Toll Free: 888-621-7484 x104 Email: ashley(a)piaba.org<mailto:ashley@piaba.org> NOTICE Date: Friday, March 1^st, 2024 Time: 12:00 pm eastern; 11:00 am central; 10:00 am mountain; 9:00 am pacific Meeting ID: 928 5796 1738 Passcode: 075712 Link: [1]https://us06web.zoom.us/j/92857961738?pwd=M0RWOHBMT0x0TUJBQTVib2xHQX Z5QT09 Dial by your location +1 669 900 6833 US ( San Jose) +1 253 215 8782 US (Tacoma) +1 346 248 7799 US (Houston) + 1 929 205 60 99 US (New York) + 1 301 715 8592 US (Washington DC) +1 312 626 6799 US (Chicago) Find your local number: [2]https://zoom.us/%20u/aiAdIR%25%20200S4 Sincerely, Ashley Ashley Ringo PIABA, IT Assistant 1300 McGee Dr., Ste. 112 Norman, OK 73072 Direct: 405-832-0128 Toll Free: 888-621-7484 x104 Email: [3]ashley(a)piaba.org References 1. https://us06web.zoom.us/j/92857961738?pwd=M0RWOHBMT0x0TUJBQTVib2xHQXZ5QT09 2. https://zoom.us/ u/aiAdIR% 200S4 3. mailto:ashley@piaba.org

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Dec. 2023 Opinion - Chatham vs Advisor Compliance case
by Kimberly L. Chavers, Esq. 02 Feb '24

02 Feb '24

Thanks John for sharing! For those interested ... CHATHAM ASSET MANAGEMENT, LLC v. ADVISER COMPLIANCE ASSOCIATES, LLC, No. 2:2023cv02677 (D.N.J. 2023). Link to Dec. 2023 Opinion is also below. https://law.justia.com/cases/federal/district-courts/new-jersey/njdce/2:202… Sincerely, Kim Kimberly L. Chavers, Esq. CHAVERS LAW, PLLC Direct: 941.374.7979 Fax: 941.500.5112 Email: KChavers(a)ChaversLawFL.com Website: https://ChaversLawFL.com<https://chaverslawfl.com/> Sarasota, FL* *Available for Consultation and by Appointment NOTICE: This transmission and any attachments may contain information that is privileged, confidential and exempt from disclosure under applicable law. If you are not the intended recipient, you are hereby notified that any disclosure, copying, distribution, or use of the information contained herein (including any reliance thereon) is STRICTLY PROHIBITED. If you received this transmission in error, please contact the sender and delete the material from any computer immediately. Thank you. <https://aka.ms/AAb9ysg>

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Attorney General letters
by Kimberly L. Chavers, Esq. 02 Feb '24

02 Feb '24

Jorge, Thanks so much for sharing your experience with the Commercial Case decision you recently encountered! I think it would be helpful if you could share with us the Attorney General letters you mentioned today during our RIA Committee meeting RE AAA Employment cases to give us an idea of what they said and how they framed their requests, etc. Could you send us the link to access those or attach them if this list-serve allows attachments? Sincerely, Kim Kimberly L. Chavers, Esq. CHAVERS LAW, PLLC Direct: 941.374.7979 Fax: 941.500.5112 Email: KChavers(a)ChaversLawFL.com Website: https://ChaversLawFL.com<https://chaverslawfl.com/> Sarasota, FL* *Available for Consultation and by Appointment NOTICE: This transmission and any attachments may contain information that is privileged, confidential and exempt from disclosure under applicable law. If you are not the intended recipient, you are hereby notified that any disclosure, copying, distribution, or use of the information contained herein (including any reliance thereon) is STRICTLY PROHIBITED. If you received this transmission in error, please contact the sender and delete the material from any computer immediately. Thank you. <https://aka.ms/AAb9ysg>

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Re: Today - RIA Committee Meeting
by Bert Savage 02 Feb '24

02 Feb '24

Hi, I am in a hearing on the west coast so I about. Thanks. Bert Robert Savage Savage Villoch Law, PLLC 400 N. Tampa St. Suite 2820 Tampa, FL 33602 ________________________________ From: Ashley Ringo via Ria <ria(a)mail.piaba.org> Sent: Friday, February 2, 2024 6:33:20 AM To: ria(a)mail.piaba.org <ria(a)mail.piaba.org> Subject: [RIA] Today - RIA Committee Meeting You don't often get email from ria(a)mail.piaba.org. Learn why this is important<https://aka.ms/LearnAboutSenderIdentification> EXTERNAL EMAIL NOTICE Date: Friday, February 2nd, 2024 Time: 12:00 pm eastern; 11:00 am central; 10:00 am mountain; 9:00 am pacific Meeting ID: 928 5796 1738 Passcode: 075712 Link: https://us06web.zoom.us/j/92857961738?pwd=M0RWOHBMT0x0TUJBQTVib2xHQXZ5QT09 Dial by your location +1 669 900 6833 US ( San Jose) +1 253 215 8782 US (Tacoma) +1 346 248 7799 US (Houston) + 1 929 205 60 99 US (New York) + 1 301 715 8592 US (Washington DC) +1 312 626 6799 US (Chicago) Find your local number: https://zoom.us/%20u/aiAdIR%25%20200S4 Sincerely, Ashley Ashley Ringo PIABA, IT Assistant 1300 McGee Dr., Ste. 112 Norman, OK 73072 Direct: 405-832-0128 Toll Free: 888-621-7484 x104 Email: ashley(a)piaba.org<mailto:ashley@piaba.org>

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Today - RIA Committee Meeting
by Ashley Ringo 02 Feb '24

02 Feb '24

NOTICE Date: Friday, February 2nd, 2024 Time: 12:00 pm eastern; 11:00 am central; 10:00 am mountain; 9:00 am pacific Meeting ID: 928 5796 1738 Passcode: 075712 Link: https://us06web.zoom.us/j/92857961738?pwd=M0RWOHBMT0x0TUJBQTVib2xHQXZ5QT09 Dial by your location +1 669 900 6833 US ( San Jose) +1 253 215 8782 US (Tacoma) +1 346 248 7799 US (Houston) + 1 929 205 60 99 US (New York) + 1 301 715 8592 US (Washington DC) +1 312 626 6799 US (Chicago) Find your local number: https://zoom.us/%20u/aiAdIR%25%20200S4 Sincerely, Ashley Ashley Ringo PIABA, IT Assistant 1300 McGee Dr., Ste. 112 Norman, OK 73072 Direct: 405-832-0128 Toll Free: 888-621-7484 x104 Email: <mailto:ashley@piaba.org> ashley(a)piaba.org

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