Proceeding
`Party
`
`Correspondence
`Address
`
`Submission
`Filer's Name
`Filer's e-mail
`Signature
`Date
`Attachments
`
`Trademark Trial and Appeal Board Electronic Filing System. http://estta.uspto.gov
`ESTTA663438
`ESTTA Tracking number:
`03/27/2015
`
`Filing date:
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`BEFORE THE TRADEMARK TRIAL AND APPEAL BOARD
`91215389
`Plaintiff
`The Plubell Firm, LLC
`H DAVID STARR
`NATH GOLDBERG & MEYER
`112 S WEST STREET
`ALEXANDRIA, VA 22314
`UNITED STATES
`dstarr@nathlaw.com
`Plaintiff's Notice of Reliance
`H. David Starr
`dstarr@nathlaw.com
`/H. David Starr/
`03/27/2015
`TPF Notice of Reliance no exhs.pdf(296780 bytes )
`NOR Exhibit No 1.pdf(2574488 bytes )
`NOR Exhibit No 2.pdf(800574 bytes )
`NOR Exhibit No 3.pdf(630117 bytes )
`NOR Exhibit No 4.pdf(1327606 bytes )
`NOR Exhibit No 5.pdf(570318 bytes )
`NOR Exhibit No 6.pdf(622109 bytes )
`NOR Exhibit NO 8_Part1.pdf(4791329 bytes )
`NOR Exhibit NO 8_Part2.pdf(5210726 bytes )
`NOR Exhibit NO 8_Part3.pdf(5150730 bytes )
`NOR Exhibit NO 8_Part4.pdf(5203959 bytes )
`NOR Exhibit NO 8_Part5.pdf(4738148 bytes )
`NOR Exhibit NO 8_Part6.pdf(633844 bytes )
`
`

`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`BEFORE THE TRADEMARK TRIAL AND APPEAL BOARD
`
`In the Matter of Trademark Application No. 85/933,193
`
`LI.“-,3; Ez:\s“:““W
`
`am-*:z— rm-s.~—: W": +4.1? ear 2:13 3%
`
`For the mark
`
`Application Filing Date: May 15, 2013
`
`THE PLUBELL FIRM, LLC
`
`Opposer,
`
`V.
`
`OPPOSITION NO. 91215389
`
`EAST WEST BANK
`
`Applicant.
`
`OPPOSER THE PLUBELL FIRM, LLC’S NOTICE OF RELIANCE
`
`Opposer The Plubell Firm, LLC files this notice of reliance, pursuant to 37 C.F.R. § §
`
`2.120 and 2.122, and identifies the following documents and materials upon which it will rely.
`
`I.
`
`Printed Publications
`
`Pursuant
`
`to 37 C.F.R. §2.122(e) of the Trademark Rules of Practice and Section
`
`704.08(b) of the TBMP, Opposer hereby makes of record printouts from various websites as
`
`identified below. True and correct copies of these documents are attached as Exhibit 1.
`
`Opposer hereby makes of record printouts from the Securities and Exchange Commission
`
`(“SEC”) and Financial Industry Regulatory Authority, Inc. (“FINRA”) websites which are
`
`publicly available document on the internet. The documents are relevant to show that the
`
`services which Applicant allegedly renders require certifications and registrations which
`
`Applicant does not possess.
`
`

`
`-1
`
`_ Date Accessed 1
`12/26/2014
`
`Source
`http://www.sec.gov/investor/brokers.htm
`
`_l
`
`1
`
`-1
`
`- Publication
`IVSEC website - Protect Your
`Money: Check Out Brokers
`L and Investment Advisers
`SEC website — Financial
`Planners
`FINRA website
`
`12/19/2014
`
`-1 12/22/2014
`.1
`
`FINRA website (Broker Check
`search)
`F SEC website (Investment
`L Advisor Public Disclosure)
`SEC website (Investment
`Advisor Public Disclosure —
`Search page)
`SEC website (Investment
`Advisor Public Disclosure —
`Search results)
`
`[
`
`12/26/2014
`
`F 12/26/2014
`L
`
`12/26/2014
`
`L
`
`12/26/2014
`
`,_
`
`h‘gp_://wwwzsec.gov/answers/fin_plan.htm
`__
`http2//www.finra.org/investors/Too1sCalcu
`1ators/BrokerCheck/
`T htt_p2//brokercheck.fin:ra.org/Search/Search
`
`ht1p_://www.adviserinfo.secgov/IAPD/Co
`_l_ntent/lapdMain/iapd SiteMap.aspX
`http://Www.adviserinfo.sec.gov/I.APD/Co
`ntent/Search/iap_Search.asrg
`
`__1
`
`http://www.adviserinfo.sec.gov/IAPD/Co
`ntent/Search/iapd_Org§earch.aspx?Search
`Gro@=Firrn&IndlText=&FirmText=east+
`west&PageNumbe1‘=1
`' _
`
`Opposer hereby makes of record printouts from the East West Insurance Services, East
`
`West Bank and Cetera’s East West Investment Services customer login websites which are
`
`publicly available on the internet. The documents are relevant to show East West Bank does not
`
`control the services rendered by third parties under the Mark or the Compass Design component
`
`and is not the owner of the Mark.
`
`' Publication
`'-East West Insurance Services
`F East West Insurance Services
`East West Bank — Investment
`
`Planning
`
`East West Bank — Page linked
`to “Login in to East West
`Investment Services” Website 4
`East West Investment Services
`
`——:
`
`3/3/2015
`
`3/3/2015
`
`Source
`|_ Date Accessed _I
`http://eastwestinsurance.com
`L 11/4/2014
`"I
`"I
`|_htjp://www.eastwestinsurance.com/en/
`3/3/2015
`h§p_s://www.eastwestbankcom/Views/Pa -1
`r_3/3/2015
`ges/wealth-management/investment-
`planningcshtml
`https://www.eastwestbank.com/Redirectio
`n/Alert ThirdPart_y_Lp?url=360EOE86—
`CEFB-4321—A3DC-D5l SOSSCA713
`https://myaccount.iconnect2invest.co1n/ba
`nkr/logm.do‘?webcontext=ewis
`
`J
`
`

`
`East West Bank
`
`1 1/4/2014
`
`https://www.eastwestban1<.com/epglish/in
`dex.asp
`
`Furthermore, East West Bank admits on its Investment Planning page of its website that
`
`the relevant services are rendered by Cetera, not by East West Bank:
`
`Securities and insurance products offered through, and advisors are registered with Cetera
`
`Investment Services LLC (doing insurance business in CA as CFGIS Insurance Agency),
`
`member J. Advisory services offered through Cetera Investment Advisers
`
`LLC. Cetera Investment Services and Cetera Investment Advisers are under separate
`
`ownership from East West Bank and its affiliates. Cetera Registered office: 135 N. Los
`
`Robles Ave., Pasadena, Ca 91101.
`
`View CETERA INVESTMENT SERVICES and CETERA INVESTMENT
`
`ADVISERS privacy policy and other important information.
`
`Financial Consultants are registered to conduct securities business and licensed to
`
`conduct insurance business in limited states. Response to, or contact with residents of
`
`other states will only be made upon compliance with applicable licensing and registration
`
`requirements. The information in this website is for U.S. residents only and does not
`
`constitute an offer to sell, or a solicitation of an offer to purchase brokerage services to
`
`persons outside of the United States. Advisory services may only be offered by
`
`Investment Adviser Representatives in connection with an appropriate CETERA
`
`Advisory Services Agreement and disclosure brochure as provided.
`
`Opposer hereby makes of record printouts from the Cetera Financial Institutions and
`
`Bank Investment Consultant websites which are publicly available on the Internet. The
`
`

`
`documents are relevant as public statements concerning the rendering of the services that are the
`
`subject of the subject Application
`
`Publication
`
`_
`Bankmvestmentconsultant '
`East West Bank Mwes
`Investment Program to Cetera
`
`Source
`__§_ Date Accessed +_
`1 1/4/20 14
`http_://wwwbankinvestmentconsultant.co
`m/news/east-west—bank-moves-
`investment-pr<_>gram—to—cetera-2683905~
`Lhtml
`
`_
`,
`About Cetera Financial Group
`News Release, March 19, 2013
`— East West Bank Signs with
`Cetera Financial Institutions
`
`1 1/4/2014
`
`1 1/4/2014
`
`L
`
`|:__
`
`httg//www.cetera.com/about—us/
`
`rhttp ://www.ceterainvestn1entservices.com/
`about-cetera-investment—servicegpress—
`releases/20130320 CFI—s_igns-
`
`_|
`
`Pursuant
`
`to 37 C.F.R. §2.122(e) of the Trademark Rules of Practice and Section
`
`704.08(b) of the TBMP, Opposer hereby makes of record select excerpts of East West Bancorp’s
`
`10-Ks from 2013-2014. East West Bancorp’s 10—Ks are publicly available on the internet and are
`
`relevant to demonstrate that Applicant does not provide the services recited in the Application.
`
`East West Bancorp’s 10-Ks are also relevant because they demonstrate that the banking industry
`
`is highly regulated and permissible non-banking activities are limited. True and correct copies of
`
`these documents are attached as Exhibit 2.
`
`Date Accessed
`Official Record
`East West Bancorp 2013 10-K October 16, 2014
`
`East West Bancorp 2014 10-K March 17, 2015
`
`Source
`http://investor.eastwestba:nk.com/Cache/1
`500057598 .PDF?Y=&O=PDF&D=&FID
`
`l
`
`=1500057598&T=&IID=4040606
`httfl/investor.eastwestbank.com/Cache/2
`8127902.pdf‘?IlD=4040606&F1D=28127
`902&O=3&OSID=9
`
`II.
`
`Discoveg Responses
`
`Pursuant to 37 C.F.R. §2.120(j) of the Trademark Rules of Practice and Section 704.10 of
`
`the TBMP, Opposer hereby makes of record in connection with this proceeding select excerpts
`
`

`
`of Applicant ’s Objections and Responses to Opposer’s First Set of Requests for Admissions
`
`(dated January 29, 2015), as follows: Requests and Responses Nos. 3, 8, 9, 10, 14, 17, 19, 22,
`
`25-30, 34, 35, 37, 39, 40, 41, 44, 45 from Opposition No. 91215389, which involves the same
`
`parties hereto and concerns certain related issues. A true and copy of the relevant excerpts of the
`
`discovery responses is attached as Exhibit 3. To provide context to these Responses, Opposer
`
`hereby makes of record in connection with this proceeding select excerpts of Opposer ’s First Set
`
`ofRequests for Admissions to Applicant (dated December 30, 2014), as follows: Exhibits Nos. 1,
`
`2, 3, 4 and 5. A true and copy of the relevant excerpts of the discovery requests is attached as
`
`Exhibit 4.
`
`Opposer hereby makes of record in connection with this proceeding select excerpts of
`
`Applicant ’s Objections and Responses to Opposer ’s First Set of Interrogatories (dated January
`
`29, 2015), as follows: Requests and Responses Nos. 2, 5, 6, 9, 10, 11, 12, 16, 17, 19. A true and
`
`copy of the relevant excerpts of the discovery responses is attached as Exhibit 5.
`
`Opposer hereby makes of record in connection with this proceeding select excerpts of
`
`Applicant ’s Objections and Responses to Opposer’s First Set of Document Requests (dated
`
`January 29, 2015) and related produced documents, as follows: Requests and Responses Nos. 4,
`
`5, 13, 14, 16, 17, 18, 24, 25, 28, 30, 31, and 32, APP00084-APP000136. A true and copy ofthe
`
`relevant excerpts of the discovery responses is attached as Exhibit 6 and produced documents
`
`with the Confidential version as Exhibit 7.
`
`III.
`
`Discovery Deposition Testimony
`
`Pursuant to 37 C.F.R. §2.l20(j)(1) of the Trademark Rules of Practice and Section 704.09
`
`of the TBMP, and the agreement of the parties to permit use of deposition transcript testimony
`
`from the related cancellation proceeding, Opposer makes of record in connection with this
`
`

`
`proceeding select excerpts of the Discovery Deposition Transcript of Douglas Krause taken on
`
`June 26, 2014 (VOL 1) ,as follows:
`
`0 Transcript Pages: (VOL 1): 28:23-29:9; 53:l2—6l:l; 61:22-62:23; 65:8—66:l9;
`
`99:8-13
`
`135:4-137:4; 139:3-l39:23; 139:24-141:1;
`
`148:13—148:25; 156:l5-
`
`161 :24; l92:21-l93:23, and accompanying Exhibits C, D, E, F, I, J, K and L. True
`
`and correct copies of the relevant excerpts of the discovery deposition transcript
`
`and accompanying exhibits are attached as Exhibit 8.
`
`0 Confidential Transcript Pages: (VOL 1): 164111-168:23; True and correct copies
`
`of the relevant excerpts of the discovery deposition transcript are submitted with
`
`the Confidential Version of this Notice of Reliance as Exhibit 9.
`
`Date: March7,_720 l 5
`
`Respectfully submitted,
`THE PLUBELL FIRM, LLC
`
`7</ft//O
`
`H. David Starr
`
`Howard W. Kline
`
`Attorneys for Opposer
`
`NATH, GOLDBERG & MEYER
`112 South West Street
`
`Alexandria, VA 22314
`(703) 548-6284 Phone
`(703) 683-8396 Fax
`
`Associated Counsel
`
`Thomas Kidde
`
`LEWISBRISBOIS BISGAARD & SMITH LLP
`
`221 N. Figueroa Street, Suite 1200
`Los Angeles, CA 90012
`
`

`
`CERTIFICATE OF SERVICE
`
`This is to certify that I am on this
`
`of March, 2015, serving a copy of the within and
`
`foregoing upon the Applicant’s attorneys via electronic mail return receipt requested, addressed
`
`as follows: tchan@foxrothschild.com; lkarczewski@foxrothschild.com;
`
`twang@foxrothschild.com; acraig@foxrothschild.com; and IPDocket@foxrothschild.com.
`
`X}.
`
`H. David Starr
`
`Attorney for Opposer
`
`Date: March 2 £22015
`
`NATH, GOLDBERG & MEYER
`112 South West Street
`
`Alexandria, VA 22314
`
`(703) 548-6284
`
`

`
`
`
`EXHIBIT 1
`EXHIBIT 1
`
`
`
`
`

`
`‘l2/26/2014
`
`SEC.gov l Protect Your Money: Check Out Brokers and Investment Advisers
`
`.
`Protect Your Money:
`Check Out Brokers and Investment Advisers
`
`a
`
`Research Individual Brokers or Firms
`
`X22’
`
`Research Investment Advisers
`
`1% What the Letters Mean: Investment Professional Designations
`
`:2»
`
`Find Your State Securities Regulator
`
`3%»
`
`Tips for Checking Out Brokers and Investment Advisers
`
`Tips for Checking Out Brokers and Investment Advisers
`
`Federal or state securities laws require brokers, investment advisers, and their firms to be
`
`licensed or registered, and to make important information public. But it's up to you to find
`
`that information and use it to protect your investment dollars. The good news is that this
`
`information is easy to get, and one phone call or web search may save you from sending your
`money to a con artist, an unscrupulous financial professional, or a disreputable firm.
`
`Before you invest or pay for any investment advice, make sure your brokers, investment
`
`advisers, and investment adviser representatives have not had disciplinary problems or been
`
`in trouble with regulators or other investors. You also should check to see whether they are
`
`registered or licensed.
`
`This is very important, because if you do business with an unregistered securities broker or a
`
`firm that later goes out of business, there may be no way for you to recover your money -
`
`even if an arbitrator or a court rules in your favor.
`
`Brokers and Brokerage Firms
`
`The Central Registration Depository (CRD) is a computerized database that contains
`
`information about most brokers, their representatives, and the firms they work for. For
`
`instance, you can find out if brokers are properly licensed in your state and if they have had
`
`disciplinary problems with regulators or received serious complaints from investors. You'll also
`
`find information about the brokers‘ educational backgrounds and where they've worked before
`
`their current jobs.
`
`You can ask your state securities regulator or the Financial Industry Regulatory Authority
`
`(FINRA) to provide you with information from the CRD. Because your state securities
`
`regulator may provide more comprehensive information from the CRD than FINRA, especially
`
`when it comes to investor complaints, you may want to check with your state securities
`
`regulator first. You'll find contact information for your state securities regulator on the website
`
`of the North American Securities Administrators Association. To contact FINRA, either visit
`
`FINRA's BrokerCheck website or call FINRA's toll—free Brokercheck hotline at (800) 289-9999.
`
`http://www .sec.gov/Investor/brokers.htm
`
`OPP0001
`OPP0001
`
`‘l/4
`
`

`
`12/26/2014
`
`SEC.gov ] Protect Your Money: Check Out Brokers and Investment Advisers
`
`Investment Advisers
`
`People or firms that get paid to give advice about investing in securities generally must
`register with either the SEC or the state securities agency where they have their principal
`place of business. As discussed in greater detail below, the rules governing the registration of
`certain investment advisers have changed.
`
`On July 21, 2010, the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-
`Frank Act”) was signed into law. The Dodd—Frank Act amends certain provisions of the
`
`Investment Advisers Act of 1940 by delegating generally to the states responsibility over
`certain mid—sized investment advisers — i.e., those that have between $25 million and $100
`
`million of assets under management (“AUM”).
`
`The Dodd-Frank Act and SEC rules increased the threshold above which all investment
`
`advisers must register with the SEC from $30 million to $110 million of AUM. Prior to July
`2011, an investment adviser regulated by the state in which it maintained its principal office
`and place of business generally was prohibited from registering with the SEC unless the
`adviser had at least $25 million of AUM, and was required to register with the SEC once it had
`at least $30 million of AUM. Now, investment advisers with less than $110 million of AUM may
`be prohibited from registering with the SEC, depending on the size of the adviser’s AUM and
`
`whether the adviser meets other requirements.
`
`This means that state securities authorities will have primary regulatory authority over a
`substantial number of investment advisers that previously were subject to primary regulation
`by the SEC. Larger investment advisers, generally, those with over $100 million of AUM, will
`
`continue to be registered with the SEC and will be subject to federal regulation (state
`investment adviser laws requiring registration, licensing, and qualification have been
`preempted for these advisers).
`
`Some investment advisers employ investment adviser representatives, the people who
`actually work with clients. In most cases, these people must be licensed or registered with
`your state securities regulator to do business with you. So be sure to check them out with
`
`your state securities regulator.
`
`To find out about an investment adviser and whether it is properly registered, read its
`registration form, called "Form ADV." Form ADV has two parts. Part 1 contains information
`about the adviser's business and whether the adviser has had problems with regulators or
`clients. Part2 sets out the minimum requirements for a written disclosure statement,
`
`commonly referred to as the “brochure,” which advisers must provide to prospective clients
`initially and to existing clients annually. The brochure describes, in a narrative format, the
`adviser’s business practices, fees, conflicts of interest, and disciplinary information. Before
`you hire an investment adviser, always ask for and carefully read both parts of the Form ADV.
`
`Where applicable, each brochure provided to clients must be accompanied by a “brochure
`supplement” that includes information about the specific individuals, acting on behalf of the
`adviser, who actually provide investment advice and interact with the client. An adviser must
`
`deliver the brochure supplement to the client before or at the time that the specific individual
`begins to provide investment advice to the client.
`
`http://www.sec.gov/investor/brokers.htm
`
`OPP0002
`OPP0002
`
`2/4
`
`

`
`12/26/2014
`
`SEC.gov | Protect Your Money: Check Out Brokers and investment Advisers
`
`You can view an adviser's most recent Form ADV online by visiting the Investment Adviser
`Public Disclosure (IAPD) website. You can also obtain copies of Form ADV for individual
`advisers and firms from the investment adviser, your state securities regulator, or the SEC,
`depending on the size of the adviser. You'll find contact information for your state securities
`regulator on the website of the North American Securities Administrators Association.
`
`If the investment adviser is registered with the SEC, you can get a copy of Form ADV (Part 1
`only) by accessing information on "How to Reguest Public Documents" at
`http://www.sec.gov/answers/publicdocs.htm. In addition, at the SEC’s headquarters, you can
`visit our Public Reference Room from 10:00 a.m. to 3:00 p.m. to obtain copies of SEC records
`and documents.
`
`Because some investment advisers and their representatives are also brokers, you may want
`to check both BrokerCheck and Form ADV.
`
`Conclusion
`
`Once you've checked out the registration and record of your financial professional or firm,
`there's more to do. For example, if you plan to do business with a brokerage firm, you should
`find out whether the brokerage firm and its clearing firm are members of the Securities
`
`Investor Protection Corporation (SIPC). SIPC provides limited customer protection if a
`brokerage firm becomes insolvent —— although it does not insure against losses attributable
`to a decline in the market value of your securities. If you've placed your cash or securities in
`the hands of a non-SIPC member, you may not be eligible for SIPC coverage if the firm goes
`out of business.
`
`Here are a few questions to get you started.
`
`- What experience do you have, especially with people in my circumstances?
`
`- Where did you go to school? What is your recent employment history?
`
`- What licenses do you hold? Are you registered with the SEC, a state, or FINRA?
`
`- Are the firm, the clearing firm, and any other related companies that will do business with
`me members of SIPC?
`
`- What products and services do you offer?
`
`- Can you recommend only a limited number of products or services to me? If so, why?
`
`0 How are you paid for your services? What is your usual hourly rate, flat fee, or
`commission?
`
`- Have you ever been disciplined by any government regulator for unethical or improper
`conduct or been sued by a client who was not happy with the work you did?
`
`- For registered investment advisers, will you send me a copy of both parts of your Form
`ADV?
`
`For more questions and additional tips, be sure to read our publications, Ask Questions and
`Get the Facts on Saving and Investing.
`In addition, although the SEC cannot recommend or
`endorse any particular entity, there are a number of non—profit educational and consumer
`
`http://www .sec.gov/i nvestor/brokers .htm
`
`OP P0003
`OPP0003
`
`3/4
`
`

`
`12/26/2014
`
`SEC.gov [ Protect Your Money: Check Out Brokers and lnvestment Advisers
`
`organizations that offer free tools to help investors check financial professionals. For
`example, AARP offers a Financial Adviser Questionnaire, and the Certified Financial Planner
`Board of Standards has a Checklist for Interviewing a Financial Planner.
`
`1:: r :apr:n|iu:::ati::ar'r of a p:ar1i:::ul:ar lai.-'v' oi rule, p|e.a:s:e nzzrzinult ‘iv-.-'itl'i an Eltt|JlTlE'j"
`l'l'IE’-E1l'llf'l|;]
`ti pecizalizes in :::er_:uritieE:
`
`
`
`http://www.sec.gov/i nvestor/brokers.htm
`
`OPP0004
`OPP0004
`
`4/4
`
`

`
`12/19/2014
`
`SEC.gov | Financial Planners
`
`Financial Planners
`
`A financial planner typically prepares financial plans for his or her clients. The kinds of
`services financial planners offer can vary widely. Some financial planners assess every aspect
`of your financial life——including saving, investments, insurance, taxes, retirement, and estate
`planning—and help you develop a detailed strategy or financial plan for meeting all your
`financial goals. Other professionals call themselves financial planners, but they may only be
`able to recommend that you invest in a narrow range of products and sometimes products
`that aren't securities.
`
`When hiring a financial planner, you should know exactly what services you need, what
`services the planner can deliver, and any limitations on what he or she can recommend. In
`addition, you should understand what services you're paying for, how much those services
`cost, and how the planner gets paid. Financial planners charge for their services in different
`
`ways: some charge either a fixed fee or an hourly fee for the time it takes to develop a
`financial plan, but don't sell investment products; some are paid by commissions on the
`products they sell; and others use a combination of fees and commissions.
`
`Financial planners may come from many different educational and professional backgrounds.
`If you're considering using a financial planner, be sure to ask about their background. If they
`have a credential, ask them what it means and what they had to do to earn it.
`
`Some financial planners have credentials like CFP® certification or CFA (Chartered Financial
`Analyst). Find out what organization issued the credential, and then contact the organization
`to verify whether the professional you're considering did, in fact, earn the credential and
`whether the professional remains in good standing with the organization. For a helpful list of
`various financial industry credentials (including the name of the issuing organization and any
`education or experience required to attain the credential), please read FINRA's Understanding
`Investment Professional Designations.
`
`If the professional you're considering claims to be a CFP® certificant, visit the website of the
`Certified Financial Planner Board of Standards. The Board is an independent regulatory
`organization that licenses financial planners as CFP® professionals. Check to see if the
`professional is certified as a CFP® professional and whether his or her certification has been
`suspended or revoked by the Board. You can also call the Board at (800) 487-1497 to obtain
`additional disciplinary information about the professional.
`
`The Certified Financial Planner Board of Standards also has brochures — What You Should
`Know About Financial Planning and Questions to Ask When Choosing a Financial Planner — that
`will help you identify a financial planner who's right for you.
`
`Financial planners who give investment advise to their clients must register with the SEC or
`the appropriate state securities regulator. For more information about investment advisers,
`read our publication entitled Investment Advisers: What You Need to Know Before Choosing
`One.
`
`http://www.sec.gov/answers/fl nplanhtm
`
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`1/2
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`

`
`12/19/2014
`
`SEC.gov I Financial Planners
`
`i:=: neither :3 legal
`it
`szer-»'in:e to in'~.-'»='=:tn:ur':5:.
`‘\.«"'-.-"e have pm-.-'ided this: inf»:nrr'natin:un as
`1
`inter‘pretati::ur': nor
`e:t:ater'ner':t of SEC ;:ncnIin:§,r.
`If 3,=n:nu h:a'~.re qua-s:tin3n:s: ::::nn::erruing the
`‘
`1 rneaning or appliczatinn of
`p::mic:u|ar
`or rule, please mnezult with an :att«Jrne§,r
`* who s;::ez:ia|izes in securitie-.=. law.
`
`http://www .sec.gov/answers/fi nplan.htm
`
`OPP0006
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`

`
`‘I2/22/2014
`
`BrokerCheck: Research Brokers & Investment Advisers — FIN RA
`
`Related Resources
`
` v
`
`:92
`
`Before you engage an
`investment professional,
`make sure you research-
`and understand—the
`
`professional designations
`they use.
`
`
`
`
`hcg3Lr§.m;:2i‘s
`You can obtain additional
`information on investment
`
`professionals from your state
`securities regulator.
`
`
`
`FINRA BrokerCheck® - Research Brokers, Brokerage
`Firms, Investment Adviser Representatives and
`Investment Adviser Firms
`
`
`
`Brokercheck is a free tool to help investors research the professional
`backgrounds of brokerage firms and brokers currently or formerly
`registered with FINRA or a national securities exchange, as well as current
`or former investment adviser firms and representatives. BrokerCheck
`information is drawn from filings by regulators, firms and investment
`professionals. It includes current licensing status and history, employment
`history and,
`if any, reported regulatory, customer dispute, criminal and
`other matters. It should be the first resource investors turn to when
`choosing whether to do business or continue to do business with a
`particular firm or individual.
`
`Through Brokercheck, investors can:
`
`Search for information about brokers and brokerage firms
`Search for information about investment adviser firms and
`representatives
`Obtain online background reports, if available
`Link to additional resources such as educational tools for investors
`
`The information about brokers and brokerage firms made available through
`Brokercheck is derived from the Central Registration Depository (CRD®),
`the securities industry online registration and licensing database.
`Information in CRD is obtained through forms that brokers, brokerage firms
`and regulators complete as part of the securities industry registration and
`licensing process. Brokercheck features professional background
`information on approximately 1.3 million current and former registered
`brokers and approximately 21,000 current and former registered brokerage
`firms.
`
`The information about investment adviser firms and representatives made
`available through Brokercheck is derived from the Securities and
`Exchange Commission's Investment Adviser Public Disclosure (IAPD)
`database. IAPD features professional background information on
`approximately 441,000 current and former investment adviser
`representatives and 45,700 current and former investment adviser firms.
`More detailed information about these firms and representatives can be
`obtained via the provided hyperlinks to the IAPD website.
`
`For questions regarding BrokerCheck:
`
`call toll-free (800) 289-9999 Monday through Friday from 8 a.m. - 8
`p.m., Eastern Time, or
`
`
`To access BrokerCheck, your browser must have cookies enabled.
`
`©2014 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.
`
`http://www.fi nra.org/Investors/ToolsCalcu|ators/BrokerCheck/
`
`OPP0007
`OPP0007
`
`1/‘I
`
`

`
`12/26/2014
`
`FIN RA Brokercheck - No Results
`
`
`
`Results for
`
`You searched for: Firm: east west bank
`
`Based on the information you provided, no results were found for the firm for which you searched. This may have
`occurred because:
`
`1. The firm's name is misspelled. Revise your search by entering only part of the name of the firm you are
`
`checking.
`2. The CRD Number, SEC Number, or Zip Code are incorrect or invalid. Ensure that you have entered the
`
`correct information or try using different criteria for your search.
`3. The investment adviser firm is not included in the Securities and Exchange Commission's Investment Adviser
`Public Disclosure database because the firm is not currently registered with the SEC and/or a state securities
`
`regulator and has not been so registered within the last 10 years.
`
`If you are still not able to find the firm for which you are searching, call the FINRA BrokerCheck Hotline at (800) 289-
`9999 to speak with a representative.
`
`To start a new search, select the New Search link.
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`"~
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`-‘
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`i " .
`
`:7‘ u
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`
`http://brokercheck.fi nra.org/Search/Search
`
`OPP0008
`OPP0008
`
`

`
`12/26/2014
`
`lAPD — Investment Adviser Public Disclosure — Sitemap
`
`Welcome to the Investment Adviser Public Disclosure website.
`
`You can search for an Investment Adviser firm on this website and view the
`registration or reporting form ("Form ADV") that the adviser filed. This website
`will also search FINRA‘s Brokercheck system and indicate whether an entity
`is a Brokerage firm. Investment advisers file Form ADV to register with the SEC
`and/or the states. Some advisers that do not have to register with the SEC or
`the states ("Exempt Reporting Advisers") must nonetheless complete some of
`the questions in Form ADV for purposes of reporting to the SEC and/or the
`states. Form ADV contains information about an investment adviser and its
`business operations. Additionally, it contains disclosure about certain
`disciplinary events involving the adviser and its key personnel.
`You can also search for an individual investment adviser representative and
`view that individual's professional background and conduct, including current
`registrations, employment history, and disclosures about certain disciplinary
`events involving the individual. The information about investment adviser
`representatives that appears on this website is collected from individual
`Investment Adviser Representatives, Investment Adviser firm(s), and/or
`securities regulator(s) as part of the securities industry's registration and
`licensing process. Individuals that are Registered Representatives of a
`Brokerage firm that are listed in FINRA‘s Brokercheck system will also
`appear in search results.
`
`Click "Investment Adviser Search" on the left navigation panel to begin
`your search.
`For a complete compilation of Investment Adviser Firms currently registered
`with the SEC and state securities regulators, please click on the "Investment
`Adviser Compilation Reports" link on the left navigation panel.
`
`Are you having technical difficulties using the Investment Adviser Public
`Disclosure site?
`
`You can call 240-386-4848 for technical assistance.
`
`http://www.adviserinfo.sec.gov/IAPD/Content/|apdMain/iapd_SiteMap.aspx
`
`OPP0009
`
`OPPO009
`
`

`
`12/26/2014
`
`IAPD - investment Adviser Search
`
`Investment Adviser Search
`
`Investment Adviser Public Disclosure (IAPD) provides information about current and certain former
`Investment Adviser Representatives, Investment Adviser firms registered with the SEC and/or state
`securities regulators, and Exempt Reporting Advisers that file reports with the SEC and/or state
`securities regulators. IAPD also provides links to FINRA's Brokercheck system which contains
`information about Brokerage firms and Registered Representatives of Brokerage firms.
`
`Please see Site Explanation for additional information about what this website displays for
`investment adviser firms and Investment Adviser Representatives.
`
`Spreadsheet reports containing some, but not all, of the information filed on Form ADV by currently
`registered or reporting SEC-registered advisers and SEC exempt reporting advisers is available at
`http:1/www.sec;_gov/foia/docyinvafoia.htm. Additional XML reports may be found under the
`"Investment Adviser Compilation Reports" menu option as well.
`
`BASIC SEARCH: enter either
`-
`Individual Name or CRD Number
`- Firm Name or CRD Number or SEC Number
`
`REFINE YOUR SEARCH: use one or more fields to refine your search
`- Zip Code (enter 5 digit U.S. postal code and select radius from drop down)
`- Employing Firm Name or CRD Number or SEC Number (applicable only to searches for
`individuals)
`
`If you are having problems with your search, please refine your search criteria or call 240-386-4848
`for technical assistance.
`
`To begin your search, choose:
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`Individual
`
`Firm
`
`You have chosen to search for a firm. Please refine your search u