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MATTER OF FIDELITY BROKERAGE SERVICES, INC.

294 A.D.2d 244 (2002)

743 N.Y.S.2d 81

In the Matter of the Arbitration between FIDELITY BROKERAGE SERVICES, INC., et al., Respondents, and MICHAEL JOHN LAVALLIE, Appellant. MERRILL LYNCH, PIERCE, FENNER & SMITH INC., Respondent.

Appellate Division of the Supreme Court of the State of New York, First Department.

Decided May 23, 2002.

The finding of civil contempt against LaVallie is supported by the record, which establishes that LaVallie did not submit to Merrill a letter authorizing Merrill to present statements and confirmations related to the Trusts to Fidelity, as required by a consent order, after the Trusts had been transferred from Fidelity to Merrill. Fidelity, alleging that problems related to the transfers had left it exposed for potential losses, had commenced an arbitration proceeding and...

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