I am attempting to discover the result of an audit/investigation that
took place in 2001 or 2002 by the Massachussetts Security Exchange
Commission. It involves a firm doing business as Morgan Financial
Advisors, Inc. located at 15 Washington Street, Manchester, Mass.
01944. The principal's name is David Ellrich. It involved a
hedgefund named the Convergent Market Fund Series II, LP.
I am an investor in this fund and am attempting to reconstruct the
events leading up to its dissolution.
I would appreciate your help in locating information that might be
available on the internet or otherwise.
Thanks!
Dick Siano |
Request for Question Clarification by
pafalafa-ga
on
10 Oct 2006 17:18 PDT
I'm not seeing anything much turn up on this, despite searching a
number of company names in Massachusetts files as well as national SEC
and news files.
Are you certain of the details?
pafalafa-ga
|
Clarification of Question by
rsiano4-ga
on
11 Oct 2006 08:13 PDT
I have double checked my information and it is correct.
Thanks!
Dick
|
Request for Question Clarification by
pafalafa-ga
on
11 Oct 2006 09:50 PDT
rsiano4-ga,
I checked the SEC registration data for Morgan Financial, which you
can see at this link I created:
http://www.esnips.com/doc/aaa100a2-9360-4fa9-bf58-e9fe93bb9c81/Morgan-Financial.htm
Item 11 covers any disciplinary history for the firm:
"Item 11 Disclosure Information...In this Item, we ask for information
about your disciplinary history and the disciplinary history of all
your advisory affiliates."
There is no indication that any actions have been taken against them
in Mass (or other states), though there may well indeed have been an
audit at one time.
Let me know your thoughts at this point.
pafalafa-ga
|
Clarification of Question by
rsiano4-ga
on
11 Oct 2006 18:34 PDT
Hi Pafa,
David Ellrich is in the process of bringing suit against the US Bank
and in one of the documents in support of his suit, he indicates he
was subject to an audit in document #19, page 3 of 8 of case
#1:03-cv-11839-RWZ Ellrich et al v. U.S.Bank National Association Rya
W. Sobel, presiding. Date filed 9/23/2003. I feel I should read a copy
of the report of the audit he indicates he experienced. I found all
the documents concerning his suit on this site:
https://ecf.mad.uscourts.gov/cgi-bin/iqquerymenu.pl?88310
I hope this info helps.
Thanks!
|
Request for Question Clarification by
pafalafa-ga
on
11 Oct 2006 18:41 PDT
Thanks for providing that additional detail...it clears up some of the
mystery, here.
I doubt that the results of such an audit are made public, unless the
audited firm opts to make it public for some reason. If the audit was
entered into the court records in the case you mentioned, I imagine
you would have found it already on PACER.
And if it isn't part of the record, then I don't think it's likely to
be available anywhere else.
Is there something else I can assist you with regarding Ellrich or this firm?
paf
|
