Free Affidavit - District Court of Connecticut - Connecticut

_ __ _ _ Case 3:03-cv-0065]-MRK Document 22 Filed 10/2§/2004 Page 1 of 2 Pwr
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UNITED STATES DISTRICT COURT Fi E
DISTRICT OF CONNECTICUT gu, ED
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X 0 UU 28 A q’ [19 N
WILLIAM E. McCARTY, U.S_ D] . I
~Ew`il mc I Cam
PlaintiftQ . M/EN. QT
- against- Civil No. 3:03cv651 (MRK)
DERIVIUM CAPITAL, LLC, f/k/a FIRST AFFIDAVIT OF
SECURITY CAPITAL; WACHOVIA BANK, PATRICIA OVERTON
f/k/a WHEAT FIRST UNION SECURITIES,
f/k/a FIRST UNION CORP.; AMERICAN
ARBITRATION ASSOCIATION,
Defendants.
10/26/04 ,
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COMMONWEALTH OF VIRGINIA) l
CITY OF RICHMOND q
PATRICIA OVERTON, being duly swom, deposes and says: _
1. Iam employed by Wachovia Securities, LLC ("Wachovia Securities" or the
"Company"), a registered broker-dealer headquartered in Richmond, Virginia. Wachovia
Securities is a member of the New York Stock Exchange, Inc. Since July 1, 1998, I have
served as the Branch Compliance Manager of Wachovia Securities’ branch office located at 901 I
E. Byrd Street, Richmond, Virginia 23219. During that period of time, that street address has y
also served as the headquarters or "home 0ffice" of Wachovia Securities. The “home office"
functions take place on floors completely separate from the branch office in which I work. l
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· · -~ _ Case 3:03-cv-OO6?¥t>)lVIFlK Document 22 Filed 10/@004 Page 2 of 2 }
2. I have never been employed by an entity known as Wachovia Bank. Since July
l, 1998, there has never been an entity known as Wachovia Bank with offices at 901 E. Byrd
Street, Richmond, Virginia.
3. As part of my duties and responsibilities as Branch Compliance Manager of
Wachovia Securities, I routinely sign for papers that are delivered to the branch office. I also
sign for papers that are delivered to the Company’s home office, which shares the same address.
4. On or about Iune ll, 2003, I signed for an envelope that was delivered to the
Company at the Richmond, Virginia home office by a United States Marshal, I opened the
envelope, looked at the contents and then forwarded the entire contents to the Company’s Legal i
Department in the same building. The envelope contained information that appeared to relate to
a lawsuit filed by William E. McCarty. To my knowledge, no other documents were ever
delivered by a United States Marshal to the Company’s home office by or on behalf of I
William E. McCarty.
5. During August 2003, I spoke with Todd Ratner, an attorney in the Legal
Department of Wachovia Securities, and confirmed that I had sent all of the contents of the N
envelope described in paragraph 4 above to the Legal Department.
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‘ U Patricia Overton l
Swbm to before me this {
I LL day of October, 2004.
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