Case 2:03-cv-02323-JWS Document 115-17 Filed O7/26/2007 Page 1 013
{Lp .’. 2a ' I ·
`V._ U l _ ` l _ - =
‘ ‘ Frances Furbush I ‘ A l
— ·From: _ Grgpat l .
$¤¤l= · T?¤`é$
_ To: N'. le_ Mctggrlfolt '°â€"°“` ` ` _
Subject R : hartz trades - · s
We do not necessarily need their trade tile but we do need the addendum and hold harmless. l
_ · Front: Nicole McDermott _
Sent: Tuesday, October 10, 2000 9:45 AM _
To: 1ay_Manan: Bm Keny¤n;JanetRornarsl
. subject: RF: tnartz trades - . l ·
` Ok. Here is the deal. g J _ _
l ' An addendum tothe services agreement that asserts that trading decisions are made before market close has been J
. ` sent to Hartz BUT NOT YET EXECUTED. I have followed up with Noah several times, as late as this morning. They
` have not agreed to send an earlier trade file, however, should they not get the agreement back to me, lwtll ask them .
to get me -their trade tile by 4:00 EST. · ·
` Janet andl have spoken regarding the calls from the fund companies. Should any calls come ln, l have asked that _
they get transferred to Jay or me. Thanks! . · _
Nicole _ ` l ,
t ———Orlginal :
Fromé Jay Manan_ ` 2 -
song: Tuesday, October 10. 20009:23 AM
. ' IT0: BillK¤tyon;JanetR¤marsld;GrarttSeeger; Nicole McDermott; DanidPrintz
Ct: . Vnmnt Allen; Matt Mollenkogf
Subject: RE: hartz trads _ · · ·
` ·. My understanding is that Hartz has signed an agrmt w/STC stating that all the trades given to us in the evening
· - were lculated before 4 PM eastem, is this the case? .
From; ` Bill Kenyon ‘
, Sent: Tupday, October 10, 2000 8:47 AH
To: JanetRomanskt;JayMarran;GrarttSeeger;tli¤oletld>•;rrrt¤I1 ·
I 4 ·· · Cc MnomtAllen; lttattttotlertlrqi -
l it was my underslaricing that in our last meeting with Noah, when he was in Phoenix, that agreement was
‘ ° . reached that they would provide their trade tile -before market close to avoid the exact issue Janet is referring
. in , · _
· ` rvmmmd. araya. . j ·
. _ · From: Janet Romanskt ®
Sent: Tuesday, October 10. 2000 7:58 AM _ , -
To: Jay Marran; Grant Seeger: Nicole McDermott
` _ · CCI Vincent Allen; Bill Kenyon; Matt Mollenkcpf AGREIQB DO REPORTWG
‘ _ _ >Sub_loct: RE: hartz trades · ` '7 -0*7
‘ 5 l ` I haven't really been keeping track. The ones I'm aware of so far are as follows! ·
l 1) T. Rowe has given tu a warning and will rafrict this account from trading il one more large l
j` ` buy and sell comes through. _ ` ·
~ _ 1
Case 2:03-cv-02323-JWS Document 1 15-17 Filed 07/26/2007 Page t2eoir3t¤&on4
4 `''' _ †· 2)·5trong Funds has already denied trading for this account going forward l
{ , _ 3) Cclvefl Funds has blocked this account from buying—once all shores are sold it will be totally
l ` " _ blocked from trading .‘ _
I°ve sent o few calls to Nicole when the funds insist on knowing more of the account details, I
` _ . . feel veryguncomfortoble with this relationship and what it could do to us as a business. I have
olreody Suggested to Vince that if the this account is making the decisions on what to buy ond
. ` - · sell, then we should pursue not giving them the price file until the following dag In addition, I
_ ' think they should have to give us their trade file before the market closes.
J if _· _ l If someone con convince me that the SEC wouldn't have o problem with our trading practices
. l regarding this relationship, maybe I would feel more confident taking these calls from the fund
‘ .. . ‘ companiu, ' `
l `L. Y In the meantime, what does Matt tell Alliance??? ·'
· Sent: Monday, October 09, 2000 2:50 PM ‘
‘ · ’|'¤:‘ Jay MBHBHQ Grant Seega; tfroote McDermott ‘
· · subject: RE: ham traits ·
' Janet has received several catts and she can fdl you in on who they are from. Fund companies
· _ _ ` ‘ typically target large dollar trades.
. V » . -—-Original Message-y- . V n
_ . _ · Franc .tayManan _
· · sent; _ Monday.0¤¤¤ber09.20oo1:47PM
‘ ‘ i To: Matt Mottmkopt; Grant Seeger: Nicole Mdkrmott
· . - Qc: Janet Romansld · -
: Sub]ed: RE: hartz trades ` .
4 l What othercompanles have questioned these? Pls keep track of who you hear from and 4
· _ _ · when. thx.
-‘ sent: -M¤¤d¤y. 0dober09, 2000 1:42 m · .
' - To: ` Grant Seeger; Jay Marian; Nicole Mcbennott ,
_ _ . · - . _ Subject: hat:
_ n, U ‘ ~_ , . l l Today l received another call from Alliance Funds questioning trades that were recently
_ _ '_ . ‘ ‘ ` processed for Hartz. Sarah at Alliance asked specifically what the reasons are for the
‘ ‘ · ; buys th large dollars and next day liquidations on the account. I told her I did not have an
· . · ' · answer but lwoutd try to get one. The churning continues on this account and several
` _ · fund companies have raised questions as to what ts going on. Maybe this requires further
‘ ·‘ · discussion to arrive at a better alternative so we dont kill our relationships with the funds
he ‘ " `_ tn question!
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