TRADEMARK APPLICATION NO. 77145364 - WESTERN AMERICA - WAEQ-2-35...
`
`Page 1 of 2
`
`
`
`T0:
`
`Western America Equities LLC (efilin
`
`co'k.com)
`
`Subject:
`
`TRADEMARK APPLICATION NO. 77145364 - WESTERN AMERICA
`- WAEQ-2-35334
`
`Sent:
`
`11/14/08 3:48:18 PM
`
`Sent As:
`
`ECOM109@USPTO.GOV
`
`Attachments: Attachment - 1
`Attachment — 2
`
`Attachment - 3
`Attachment - 4
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`SERIAL NO:
`
`77/145364
`
`"MN
`
`lllllIllIlllllllllllllllllllllllllllllll
`
`CORRESPONDENT ADDRESS:
`
`JERALD E. NAGAE, REG. N0. 29,418
`CHRISTENSEN O'CONNOR JOHNSON
`KINDNESS PL
`
`RESPOND TO THIS ACTION:
`http://www.uspto.g0v/teas/eTEASpageD.htm
`
`1420 FIFTH AVENUE SUITE 2800
`SEATTLE, WA 98101-2347
`
`GENERAL TRADEMARK INFORMATION:
`
`http :l/www.uspto. gtfi/main/trademarks.htm
`
`APPLICANT:
`LLC
`
`Western America Equities
`
`CORRESPONDENT’S
`REFERENC E/DOCKET N0:
`
`WAEQ-2-35334
`CORRESPONDENT E-MAIL ADDRESS:
`
`efiling@cojk.com
`
`REQUEST FOR RECONSIDERATION DENIED
`
`Applicant is requesting reconsideration of a final refusal issued/mailed March 5, 2008.
`
`Afier careful consideration of the law and facts of the case, the examining attorney must deny the
`request for reconsideration and adhere to the final action as written since no new facts or reasons have
`been presented that are significant and compelling with regard to the point at issue.
`
`The applicant should further note that the examining attorney has attached additional evidence
`supporting the Refusal of Registration under Trademark Act Section 2(d), 15 U.S.C. §l052(d).
`
`Accordingly, applicant’s request for reconsideration is denied. The time for appeal runs from the date
`the final action was issued/mailed. 37 C.F.R. Section 2.64(b); TMEP Section 7l5.03(c). If applicant
`
`file://\\ticrs-ais—O1\ticrsexport\HtmlToTiffInput\OOA00O12008_l2_16_l3_06_l7_TTAB...
`
`12/ 1 612008
`
`
`
`

`
`TRADEMARK APPLICATION NO. 77145364 - WESTERN AMERICA - WAEQ-2-35...
`
`Page 2 of 2
`
`has already filed a timely notice of appeal, the application will be forwarded to the Trademark Trial and
`Appeal Board (TTAB).
`
`Ifthe applicant has any questions regarding this correspondence, please telephone the assigned
`examining attorney.
`
`/Richard F. White/
`
`Trademark Examining Attorney
`Law Office 109
`
`(571) 272-9442
`Telephone:
`Fax: (571)273-9109
`
`RESPOND TO THIS ACTION: Applicant should file a response to this Office action online using the
`form at http://www.uspto.gov/teas/eTEASpageD.htm, waiting 48-72 hours if applicant received
`notification of the Office action via e-mail. For technical assistance with the form, please e-mail
`TEAS@uspto.gov. For questions about the Ofiice action itself, please contact the assigned examining
`attorney. Do not respond to this Office action by e-mail; the USPTO does not accept e—mailed
`responses.
`
`Ifresponding by paper mail, please include the following information: the application serial number, the
`mark, the filing date and the name, title!position, telephone number and e-mail address of the person
`signing the response. Please use the following address: Commissioner for Trademarks, P.O. Box 1451,
`Alexandria, VA 22313-1451.
`
`STATUS CHECK: Check the status of the application at least once every six months from the initial
`filing date using the USPTO Trademark Applications and Registrations Retrieval (TARR) online system
`at http://tarr.uspto.gov. When conducting an online status check, print and maintain a copy of the
`complete TARR screen. If the status of your application has not changed for more than six months,
`please contact the assigned examining attorney.
`
`file://\\ticrs—ais—O1\ticrsexport\HtmlToTifiInput\OOAOO0l2008_12_l6_l3_06_l7_TTAB...
`
`12/16/2008
`
`,,,,,,,,,
`
`,
`
`, ,_
`
`

`
`.45.104/search?
`=cache:4v9Mx3WTwPA.J:wvvw.answers.com/to icfdaiwa-securitiee rou -inc+%22real+esta
`
`t
`11/140008 03:21 :12 PM
`e+mana ement%22+%22securities+brokera e%22&h|=en&ct=clnk&cd=6& l=us
`
`
`
` i
`
`[ Thié‘is:Gt:oe!efeea::he,otht '
`swé ‘
`.
`cufggn"tfggg‘"éfcouid. have changed in the irneanii’m’e.xl gtam mg
`
`-'m:.
`
`These Search terms. are highlighted: «’real estate managemantfsecuriti es brokerage
`
`1
`it is a snapshot of_1:h'e’page./a‘s_it appearedon‘Nov3.2008 18_;40:i3.GMT.‘~The
`Text-onigversign
`
`__,
`
`AnsWers.com‘“
`
`s; Aninal Life
`2 Business and
`Finance
`is Entertainment
`and Arts
`:2 Food and Cooking
`2 Health
`‘.2 History, Poitics
`and Society
`ssz Home and Garden
`£2 Law and Legal
`Issues
`:2 Literature and
`1670599
`as Miscellaneous
`2; Relgion and
`5D?itUBlitY
`:4 Science
`2» Shopoino
`:3 Sports
`as Technology
`:3 Travel
`.2: See AI. ..
`
`‘
`
`Results for Daiwa Securities Group
`Inc.
`
`On this page:
`
`
`339'.e_.°t f§:*_.i9.'e
`
`
`
`Hoover's Profile: Daiwa Securities Group Inc.
`[0TC:DSECY]
`
`Type: public
`On the web: http:/fvvww.daiwa.jg
`
`Contact Information
`
`Daiwa Securities Group
`
`Japan's second-largest securities firm [Nomura is #1),
`Daiwa Securities Group focuses on asset management,
`retail and wholesale securities, and investment
`operations. The company offers traditional and online
`securities brokerage to individuals and businesses
`through its Daiwa Securities Co. subsidiary. Daiwa
`Securities SMBC (40% of which is owned by Sumitomo
`Mitsui Financial Group J offers investment banking
`services, mostly to domestic companies and Japan-based multinationals. Other subsidiaries
`offer asset management, research and consulting, realestate management (through the
`Daiwa Property Co., Ltd.], and private equity investing.
`
`'”°'
`64’ °"°'"“°h‘ 2'°h°"‘°’
`Chiyoda-ku
`Tokyo 100-8101, Japan
`Tel. +81-3-3243-2111
`Fax +81-3-3242-0955
`
`Key numbers for fiscalyear ending March, 2006:
`Sakes: S7,191.5M
`One year growth: 48.9%
`Net income: $1,190.1M
`Income growth: 143.0%
`
`Officers:
`Chairman and Executive Officer: Yoshinari Hara
`President, CEO, and Director; President, Daiwa Securities Co. Ltd.: Shigeharu Suzuki
`Executive Officer, CFO, and Director: Middle-Market Investment Banking
`
`Competitors:
`Lehman Brothers
`Nikko Citi Holdings
`Nomura Holdings
`
`Company History: Daiwa Securities Group Inc.
`
`Pa e Tools: Personalize
`
`ADVERTISEMENT
`
`Open a Checking Account.
`
`Get 2: S150 \fisa@ Gift Card.
`
`aim»
`
`
`
`wwmzs
`Tackle These
`
`‘>““““*“
`
`
`
`- o Where do i send a daiwa PR1-5bi fishing
`reel to have the antireverse fixed and
`' 0 Does the leader pl a discussion group
`dislike you when he knm your nane
`and
`‘ a Does the leader ofa discussion group
`dislike you when he knows your name
`and
`
`o How can I find the identity of Canadian
`Securities underwriters that specialize
`[unanswered]
`o Make a comparative assessment of different
`type of securifies from the point of
`[unanswered]
`0 Why do small banks typically hold more
`securities as a percent of total assets
`[unanswered]
`
`t
`
`More Daiwa Securities Group Inc. questions
`) >
`
`’WikiAnswers ‘
`Q8:A the wiki way
`
`
`
`

`
`Keep Reading
`
`Mentioned In:
`
`Daiwa Securities Groug
`Nikkei 225
`
`Special Offers
`
`Securities Brokerage Firms
`Real Estate Listings
`Global Investment
`Private Eguig
`Capital
`
`ADVER SEMENT
`
`'T1'!!.‘- SPORTS Clullbtlvdr
`
`
`
`Bring a friend and
`enjoy 3 days together
`as our guests.
`
`I
`
`Get ymxr passes now .>
`
`htt
`
`://74.125.45.1D4!search? =cache:4v9Mx3V'o'TwPAJ:vvvvv¢.answers.com/to ic/daiwa-securities- rou -inc+%22real+esta
`
`te+management%22+%22securities+brokerage%22&h|=en3.ci=cink&cd=B&g|=us
`
`11/140008 03:21:12 PM
`
`Incorporated: 1943
`NAIC: 551111 Offices of Bank Holding Companies;
`523110 Investment Banking and Securities Dealing;
`523120 Securities Brokerage
`
`Daiwa Securities Group Inc.--formerly known as
`Daiwa Securities Co. Ltd.--operates as Japan's
`second-largest securities firm. Through its
`subsidiaries, the company is involved in retail and
`wholesale securities, asset management, consulting,
`and venture capital. During the 19905, Japan's
`financial industry began to restructure and
`deregulate, prompting Daiwa Securities to adopt a
`holding company structure. The firm also teamed up
`with Sumitomo Bank--now known as Sumitomo
`Mitsui Banking Corporation--to form a wholesaling
`securities joint venture. Daiwa Securities celebrated
`its 100th anniversary during 2002, just as an
`economic slowdown and a weakening securities
`market forced brokerage commissions and revenues
`to plummet.
`
`Daiwa Securities Company was incorporated in 1943
`as a merger between the Fujimoto Bill Broker 8:
`Securities Company and the Nippon Trust Bank. The
`company's origins date back to 1902, when Sibei
`Fujimoto entered the bill-brokering business at a
`time when Japan's securities industry was still in its
`infangyg. In 1907, the company entered the banking
`business and took the name Fujimoto Bill Broker and
`Bank, Lu reflect its expanded services. Wurld Wdl I
`brought tremendous growth to the Japanese
`economy. Export demand skyrocketed and stock
`trading increased, as did the number of corporate
`and government bond issues. As a result, the
`Fujimoto organization grow quickly.
`
`After the war and throughout the 19205, Fujimoto
`engaged in both banking and securities brokering.
`Bond trading reached new highs, and as the
`.|apanese ecnnnmy hename mnre runmplmr, stnrk
`trading set records too. However, a number of
`financial catastrophes rocked the economy in the
`later1920s. In 1927, a run on the banks sent shock
`waves through the financial community. Dozens of
`banks and securities dealers collapsed, but
`Fujimoto, due to prudent management, survived
`intact. The Depression which followed the collapse of
`the New York Stock Exchange in 1929 brought about
`changes in the laws regarding Japanese financial
`institutions. Fujimoto was forced to give up the
`
`Company Perspectives:
`
`We the Daiwa Securities
`
`Group are committed to
`acting as our client's best
`partner and promote their
`financial weir!-being. in order
`toacbieve this, we shat!
`redefine currentiy accepted
`best practice drawing, on the
`foffowing three core vaiues:
`we shot! provicre products and
`services that exceed
`
`expectations; we shot! bring
`the fuiistrength of the group
`to bear; and we shall
`continuaffy chailenge the
`limits of financial best
`practice.
`
`Key Dates:
`
`. 1907: Fujirnoto am
`Brokerpand flank en ters
`the banking business.
`o 1933: Fuflmotov is
`forced to give up its
`banking business and
`forms Fujimoto Bit!
`Broker 8: Securities
`Company.
`. 1943: Fujimoto em
`Broker & Securities and
`
`Nippon Trust Bank
`merge to form Daiwa
`§Pr‘rIr1'h'p<: fnmpany.
`o 1951: Daiwa enters
`the investment trust
`business.
`o 1959: Daiwa
`Investment Trust and
`
`Management. Company
`Ltd.
`is created.
`o 1964: The firm
`estabfishes an office in
`London.
`I986: The company is
`designated a primary
`dealer in U. 5.
`
`-
`
`government securities.
`o 1998: Daiwa Securities
`
`

`
`
`
`
`
`://74.125.45.104/search?
`htt
`.com/Financial-Lines-Insurance 317 8'/'305.html+%22rea|+
`=cache:BhJel<Ai9aYsJ:www.ai
`11/142008 03:23:47 PM
`estate-+mana ement%22+%22securities+brokera e%22&hl=en&ct=clnk&cd=3U& |=us
`
`
`
`
`
`
`
` ntirnc-j,_ ‘
`Q These searclr. .t’e§'rn‘$ are highlighted: ‘realestate management securities brokerage V.
`
`n_" or
`
`
`
`I41‘-:‘ mm Contact Us United Arab Emirates
`
`ll'lf|E'l'f'|-:'1tl:i5'=«3ll'31E‘I
`
`
`
`
`@aig.com Claims
`
`our Customer Service
`Helpline:
`Email: customerservice—uae
`
`I Claim Procedue
`
`
`
`
`
`
`lridnnuuals and
`Families
`
`fl hsuranoe >
`
`Business
`
`Producers and
`Advisers
`
`Show Tab We-It I Show List View
`
`_nent
`Professional D‘aector's& Emn
`ces
`Liabirty
`Officers
`Pr
`Liability
`Lialnlitv
`
`Public
`Offering of
`Securities
`
`llccouritarits Professional Liability
`This policy protects accounting firms and its partners, directors and employees from claims arising out oftheir activities as an
`accountant.
`
`property and errors and omissions lawsuits.
`
`Financial lnstituions Professional Indemnity and Bankers Professional Liability Insurance (BPL)
`Commercial banks, insurance companies and otherfinancial institutions collectively offer a broad range of services to
`corporations and individuals, including trust management, real estatemmagement and brokerage, securitiesbrolcerage,
`electronic data processing, loan origination, tax planning and wire transfer services. Increasingly, bankers and their institutions
`are vulnerable to lawsuits alleging failure to render professional services and commitment of errors and omissions In the
`execution ofprofessional services. BPL insures bankers and banking institutions against claims ofactual or alleged wrongful
`acts, errors, omissions and failure to render such professional services.
`
`Lawyers Professional Liability
`This policy protects lawfirms and its partners, directors and employees from claims arising from activities orout of actions as a
`lawyer or notary. Coverage may also be available for activities as an outside director ofa third party corporation.
`
`Multi Media Professional Liability
`This policy provides coverage for publishers and broadcasters for defamation, invasion of privacy, news gathering, intellectual
`
`Pension Trust Liability Insurance (ERISA or Fiduciary Liability)
`This policy provides coverage for payment ofdefense costs, settlements and judgments for damages arising out ofan actual or
`alleged breach offiduciary duty under ERISA or similar common or statutory lawforwhich the insured becomes legally liable.
`Cnveramn. inclrrdns iniiinrttive nr nnn-nenrrniamsriils
`
`

`
`hit
`.comlFinancia|—Lines-insurance 317 873D5.html+%22real+
`:/r'74.125.215.1D4/search? -cache:EihJeKAi9aYsJ:www.ai
`
`
`estate+mana ement%22+%22sec rities+brokera e%22&h|=en&ct=c|nk&cd=3D& |=us
`1‘i/14/2008 D3:23:47 PM
`
`Coverage includes injunctiye or non-pecuniary suits.
`
`Professional Association Professional Liability Insurance
`This policy provides claims made professional liability and Directors and Officers coverage for associations, trade groups. etc.
`Those covered include the entity. employees and volunteers. The policy covers most ofthe exposures involved in providing
`services to members and includes publisher's liability for newsletters and other association literature.
`
`School Leaders Professional Liability
`This policy protects school entities, school boards, employees, studentteachers and volunteers against claims ofalleged or
`actual breach of duty, neglect, errors, misstatements, misleading statements or omissions. The policy provides "insured versus
`lnsured" coverage for lawsuits brought by employees against their employer. Wrongful Acts that can be covered, depending on the
`policy version, to include the following types of claims:
`
`Claims brought by employees: discrimination, wrongful termination, failure to hire, failure to promote! train, breach of employment
`contract, wrongful suspension, sexual harassment, failure to maintain insurance (defense cover only), fiduciary liability for benefit
`plans (defense cover only).
`
`Claims brought by students: wrongful suspension 1 expulsion, constitutional violations (i.e. freedom of speech, religion, assembly,
`privacy), corporal punishment (defense cover only).
`
`Claims brought by parents: failure to provide special education, failure to educate.
`
`Claims brought by vendors: (defense coverage only) breach of contract, unfair bidding procedures, discrimination.
`
`Travel Agents Professional Liability
`This policy protects travel agents and tour operators for claims arising out of or incidentalto the profession. Coverage may
`include, bodily injuryiproperty damage, norrowned auto, errors and omissions and personal injury.
`
`Investment Management Insurance
`The investment Management insurance Policy offers the choice of distinct coverage and allows the insured to select the coverage
`that are appropriate for its specific needs. Coverage A- is the lnyestrnentAdviser Professional Liability and Corporate
`Reimbursement. Coverage B - is the Mutual Fund Professional Liability and Directors and Officers Liability and Corporate
`Reimbursement. Coverage 0- is the Directors and Officers Liability and Corporate Reimbursement
`
`Electronics Data Processors Errors 8. Omissions
`This policy provides claims-made professional liability coverage for any corporation, partnership or individual providing the
`services of system analysis, software design, computer programming, data processing, system integration, consulting or
`information retrieval.
`
`For companies based outside ofthe USA and Canada, coverage may be written on a worldwide basis, including the jurisdictions
`ofthe USA and Canada. For USA and Canadian companies, coverage plans are offered forforeign operational exposures and for
`liabilities arising from products exported from the home country.
`
`wyysifiIrl02-(1005 2DO6,9.nre1icarr lnternatiurral Oruuy. lnu. All right.» resumed.
`Terms offlse } Primawl Site Map 1 Fraud Warning! Last Updated Date 9119:2008 10:21:2E>AM
`
`Contact N6 by «malt «phone Call MF Barri-8pm ET I USA; 137?-633-4244 Worldwide: +1-008679-3150
`
`
`

`
`TRADEMARK APPLICATION NO. 77145364 - WESTERN AMERICA - WAEQ-2-35...
`
`Page 1 of 1
`
`To:
`
`Western America Equities LLC (efi|ing@coj k.com)
`
`Subject:
`
`Sent:
`
`TRADEMARK APPLICATION NO. 77145364 - WESTERN AMERICA
`- WAEQ-2-35334
`11/14/08 3:43:20 PM I
`
`Sent As:
`
`ECOM109@USPTO.GOV
`
`Attachments:
`
`IMPORTANT NOTICE
`
`USPTO OFFICE ACTION HAS ISSUED ON 11/14/2008 FOR
`
`APPLICATION SERIAL N 0. 77145364
`
`Please follow the instructions below to continue the prosecution of your application:
`
`VIEW OFFICE ACTION: Click on this link http:Iltmportal.uspto.govlexternal/portalltow?
`DDA=Y&serial_number=77145364&doc_type=0OA&mail_date=20081114 (or copy and paste
`this
`URL
`into
`the
`address
`field
`of
`your
`browser),
`or
`visit
`httpzlltmportaI.uspto.govlexternallportaI/tow and enter the application serial number to access
`the Office action.
`
`PLEASE NOTE: The Office action may not be immediately available but will be viewable within 24
`hours of this notification.
`
`RESPONSE MAY BE REQUIRED: You should carefully review the Office action to determine (1) if
`a response is required; (2) how to respond; and (3) the applicable response time period. Your
`response deadline will be calculated from 11/14/2008.
`
`Do NOT hit “Reply” to this e-mail notification, or otherwise attempt to e-mail your response, as
`the USPTO does NOT accept e—mailed responses.
`Instead, the USPTO recommends that you
`respond online using the Trademark Electronic Application System response form at
`http:Ilwww.uspto.govIteasIeTEASpageD.htm.
`
`HELP: For technical assistance in accessing the Office action, please e-mail
`TDR@uspto.gov. Please contact the assigned examining attorney with questions about the Office
`action.
`
`1. The USPTO will NOT send a separate e-mail with the Office action attached.
`
`WARNING
`
`2. Failure to file any required response by the applicable deadline will result in the
`ABANDONMENT ofyour application.
`
`file://\\ticrs-ais-O1\ticrsexport\HtmlToTifl‘Input\OO/1100062008_12_16_l3_06_27_TTAB...
`
`12/16/2008