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8/3/2019 Petition for Writ of Certiorari SCOTUS - Can you rely on your brokerage statements?
http://slidepdf.com/reader/full/petition-for-writ-of-certiorari-scotus-can-you-rely-on-your-brokerage-statements 1/24
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8/3/2019 Petition for Writ of Certiorari SCOTUS - Can you rely on your brokerage statements?
http://slidepdf.com/reader/full/petition-for-writ-of-certiorari-scotus-can-you-rely-on-your-brokerage-statements 2/24
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8/3/2019 Petition for Writ of Certiorari SCOTUS - Can you rely on your brokerage statements?
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8/3/2019 Petition for Writ of Certiorari SCOTUS - Can you rely on your brokerage statements?
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8/3/2019 Petition for Writ of Certiorari SCOTUS - Can you rely on your brokerage statements?
http://slidepdf.com/reader/full/petition-for-writ-of-certiorari-scotus-can-you-rely-on-your-brokerage-statements 5/24
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8/3/2019 Petition for Writ of Certiorari SCOTUS - Can you rely on your brokerage statements?
http://slidepdf.com/reader/full/petition-for-writ-of-certiorari-scotus-can-you-rely-on-your-brokerage-statements 6/24
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8/3/2019 Petition for Writ of Certiorari SCOTUS - Can you rely on your brokerage statements?
http://slidepdf.com/reader/full/petition-for-writ-of-certiorari-scotus-can-you-rely-on-your-brokerage-statements 7/24
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8/3/2019 Petition for Writ of Certiorari SCOTUS - Can you rely on your brokerage statements?
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8/3/2019 Petition for Writ of Certiorari SCOTUS - Can you rely on your brokerage statements?
http://slidepdf.com/reader/full/petition-for-writ-of-certiorari-scotus-can-you-rely-on-your-brokerage-statements 9/24
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8/3/2019 Petition for Writ of Certiorari SCOTUS - Can you rely on your brokerage statements?
http://slidepdf.com/reader/full/petition-for-writ-of-certiorari-scotus-can-you-rely-on-your-brokerage-statements 10/24
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8/3/2019 Petition for Writ of Certiorari SCOTUS - Can you rely on your brokerage statements?
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8/3/2019 Petition for Writ of Certiorari SCOTUS - Can you rely on your brokerage statements?
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8/3/2019 Petition for Writ of Certiorari SCOTUS - Can you rely on your brokerage statements?
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2
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d bdomryzx`u ̀ nyrx {firi xfi nrhir –eowncwip d tyipxeno ng cd{ dp xn {fe`f xfiri ep on ̀ noxrncceok hi`epeno ng xfi ̀ nyrxng dzzidcp gnr xfi `er`yex nr ng xfi Pyzriai @nyrx ng xfiYoexih Pxdxip nr eowncwip d adxxir ng zybce` eaznrxdo`i/‑
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0
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8
`nrznrdxeno {fe`f {ecc eopyri xfi pi`yrexeipdoh `dpf cigx {exf brnmirdki fflrap bu eowipxnrpdkdeopx cnpp grna geodo`edc hegge`ycxeip nrgdecyri ng py`f fflrap/ / / / Lypx dp xfi GihirdcHiznpex Eopyrdo`i @nrznrdxeno zrnxi`xp xfiypir ng bdomeok pirwe`ip grna xfi hdokir ng bdom gdecyri pn {ecc xfi Pi`yrexeip EowipxnrZrnxi`xeno @nrznrdxeno zrnxi`x xfi ypir ng eowipxaiox pirwe`ip/
Re`fdrh Oevno< –Pxdxiaiox no Pekoeok xfi Pi`yrexeip Eowipxnr Zrnxi`xeno D`x ng 45;:#‑ XFI D AIRE@DO ZRIPEHIO@U ZRNLI@X &Hi`/ 0: 45;:% fxxz<..{{{/zripehio`u/y`pb/ihy.
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hep`rixeno ivepxp eo xfi pxdxyxi/ Xfi @nyrx ng Dzzidcpfich xfdx PEZD―p ̀ cidr doh yodabekynyp hiffloexeno ng –oixityexu‑ –hnip onx zrip`rebi d peokci aidop‑ ng ̀ dc`ycdxeno–eo xfi auredh `er`yapxdo`ip xfdx adu drepi eo d PEZD cetyehdxeno‑ doh xfdx –]hQeggireok gd`x zdxxirop {ecceoiwexdbcu `dcc gnr heggireok dzzrnd`fip xn dp`irxdeoeokxfi gderipx aixfnh gnr dzzrnveadxeok ‖oix ityexu/―‑ Eori Adhngg Pi`yrexeip 798 G/0h dx 209/ &Dzz/ D 4:!44d%/Xfi `nyrx `no`cyhih xfdx yohir –xfi ivxrdnrheodrugd`xp ng xfep `dpi‑ d `ypxnair―p –oix ityexu‑ zrenrexu`cdea adu bi `dc`ycdxih bu –{ez]eokQ nyx dcc iwioxp ng d
`ypxnair―p eowipxaiox fepxnru iv`izx gnr `dpf hiznpexpdoh {exfhrd{dcp‑ iwio xfnykf –d `ypxnair―p cdpx d``nyoxpxdxiaiox {ecc cemicu bi xfi anpx dzzrnzredxi aidop ng
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9
`dc`ycdxeok ‖oix ityexu― eo anri `nowioxenodc `dpip/‑ Eh/dx 206/ &Dzz/ D 46d%/
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zrnwehip xfdx d PEZ@ xrypxii―p cikdc giip dri zdeh bu PEZ@/ Pii 49 Y/P/@/ « ;6iii&b%&9%&@%/ Xfyp xfi xrypxii {fn epbifnchio xn PEZ@ gnr zduaiox ng fep cikdc giip ep kewiohep`rixeno xn hi`ehi {fixfir nr onx PEZ@ ep nbcekdxih xnzdu eopyrdo`i xn id`f eowipxnr/ Xfi @nyrx ng Dzzidcpxfio fdp rixrnd`xewicu hipxrnuih d `ypxnair―p dbecexu xnricu yzno PEZ@ eopyrdo`i gnr fep eowipxaiox dp eohe`dxihno xfi d``nyox pxdxiaioxp eppyih bu fep brnmir {fe`f eoxfep ird ng ici`xrnoe` xrdheok ep xfi nocu iwehio`i doueowipxnr fdp ng {fdx fi n{op/
D/ Odxyri ng xfi @dpi
Xfep `dpi drepip nyx ng xfi PEZD cetyehdxeno ng Birodrh C/ Adhngg Eowipxaiox Pi`yrexeip CC@ &–Adhngg Pi`yrexeip‑% do PI@!rikycdxih brnmir d aiabir ng PEZ@doh d ̀ noxrebyxnr xn xfi PEZ@ gyoh xfdx @nokripp ̀ ridxih–xn zrnwehi gnr zrnazx zduaiox doh pdxepgd`xeno ng oixityexu ̀ cdeap ng ̀ ypxnairp‑ ypydccu bu rizcd`eok aeppeokpi`yrexeip/ Pii 49 Y/P/@/ «« ;6ggg!0&d%= ;6ggg&d%&4%/ PEZD hiffloip –oix ityexu‑ dp xfi danyox xfi brnmir –n{ip‑ d`ypxnair gnr xfi `ypxnair―p –pi`yrexeip znpexenop‑ aeoyp
dou eohibxihoipp ng xfi `ypxnair xn xfi brnmir no xfihdxi ng xfi brnmir―p PEZD fflceok/ Pii 49 Y/P/@/ « ;6ccc&44%/PEZD zrnfebexp PEZ@ grna `fdokeok xfi hiffloexeno ng –oixityexu/‑ 49 Y/P/@/ « ;6```&b%&8%&D%/
8/3/2019 Petition for Writ of Certiorari SCOTUS - Can you rely on your brokerage statements?
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7
Uix xfi @nyrx ng Dzzidcp fich xfdx xfi xira –oixityexu‑ fdp on –peokci‑ gevih aidoeok= rdxfir –oixityexu‑ adu bi hiffloih heggirioxcu hizioheok no xfi`er`yapxdo`ip/ Pii Eo ri Adhngg Pi`yrexeip 798 G/ 0h dx209/ &Dzz/ D 4:d%/ Eo xfep `dpi xfi Xrypxii `nych hiffloi–oix ityexu‑ pn dp xn hizrewi anri xfdo fdcg ng Adhngg Pi`yrexeip― `ypxnairp ng PEZ@ eopyrdo`i bu ceaexeok`nwirdki xn d `ypxnair―p oix eowipxaiox nwir xfi ceging xfi d``nyox eo`cyheok xfi xrdopgirnr d``nyoxp ng xfi
`ypxnair―p zdrioxp doh krdohzdrioxp/ Xfi `ypxnair―pfflodc pxdxiaiox {dp hiiaih erriciwdox= xfi `ypxnair―pbdcdo`i no {fe`f fi zdeh gihirdc eo`nai xdvip {dp hiiaiherriciwdox/
B/ Zrn`iiheokp Bicn{
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Iv`fdoki @naaeppeno w/ Birodrh C/ Adhngg Eowipxaiox
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Zyrpydox xn do nrhir ioxirih bu xfi Bdomryzx`u@nyrx no Hi`iabir 20 2::6 Zixexenoirp fflcih {rexxio
8/3/2019 Petition for Writ of Certiorari SCOTUS - Can you rely on your brokerage statements?
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;
pxdxiaioxp ng ̀ cdea gnr xfi adrmix wdcyi ng xfier pi`yrexeipznpexenop dp rifli`xih no xfi cdpx d``nyox pxdxiaioxpri`iewih grna Adhngg Pi`yrexeip/ Xfi Xrypxii hioeihxfi `cdeap xn xfi ivxiox xfiu iv`iihih xfi Zixexenoirp―fepxnre`dc oix eowipxaiox kneok bd`m xfrnykf kioirdxenopng d``nyox fnchirp/4
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4/ Xfi Bdomryzx`u @nyrx―p Hi`epeno
Xfi Bdomryzx`u @nyrx eppyih exp hi`epeno no Adr`f4 2:4: &Dzz/ H 84d% gnccn{ih bu do nrhir no Adr`f 62:4:/ &Dzz/ @ 07d%/ Xfi Bdomryzx`u @nyrx fich xfdx xfi–oix ityexu‑ hiffloexeno adu bi –pyp`izxebci xn heggireok
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4/ Hi`cdrdxeno ng Ficio Hdwep @fdexado hdxih Onwiabir40 2::5 Dzziccdoxp― Lneox Dzziohev &–L/Dzz/‑% dx 979!77 &W/E%= Xrdopd`xeno Fepxnru @fdrxp dooivih xn Onxe`i ng Xrypxii―pHixiraeodxeno ng @cdea L/Dzz/! 796 doh 75: &W/ EE/%/
2/ I@G Hn`mix Riznrx gnr Dhw/ Zrn/ On/ :6!:4;65 &Bdomr/P/H/O/U/% &BRC% &xfi –Hn`mix Riznrx‑% L/Dzz/!45 xn 426 &W/ E/%/
0/ Hn`mix Riznrx L/Dzz/!449 &W/ E/%/
8/3/2019 Petition for Writ of Certiorari SCOTUS - Can you rely on your brokerage statements?
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6
hiznpexp doh {exfhrd{dcp xfdx eo ridcexu n``yrrih‑ dohxfdx fnonreok `ypxnair pxdxiaioxp –{nych eazrnzircuhepxrebyxi `ypxnair gyohp bdpih no Adhngg―p drbexrdruhipeko/‑ Eh/ dx 482/ &Dzz/ H 60d%/ Xfi Bdomryzx`u @nyrxfich xfdx xfi Xrypxii―p Oix Eowipxaiox Aixfnh –ep xfianri ityexdbci doh dzzrnzredxi {du xn hixiraeoi OixItyexu/‑ Eh/ &Dzz/ H 69d%/
Xfi Bdomryzx`u @nyrx `irxegeih exp nrhir yohir
26 Y/P/@/ « 496&h%&2% dp eowncweok –d adxxir ng zybce`eaznrxdo`i‑ dp xn {fe`f –do eaaihedxi dzzidc aduadxiredccu dhwdo`i xfi zrnkripp ng xfep zrn`iiheok/‑&Dzz/ B 0:d%/
2/ Xfi @nyrx ng Dzzidcp― Hi`epeno
Xfi @nyrx ng Dzzidcp dcpn ̀ irxefflih xfdx xfi Bdomryzx`u@nyrx―p nrhir aix xfi ̀ rexired ng 26 Y/P/@/ « 496&h%&2%&D%&e%/Xfi @nyrx ng Dzzidcp dg fflraih xfi Bdomryzx`u @nyrx―p
nrhir/ Eo ri Adhngg Pi`yrexeip 798 G/ 0h dx 282/ &Dzz/ D
2;d%/ Ex ri`nkoe|ih xfdx `ypxnairp ng Adhngg Pi`yrexeipfdwi `cdeap gnr pi`yrexeip bdpih no xfier pxdxiaioxpbyx rycih xfdx xfier –oix ityexu‑ `cdeap gnr zyrznpipng hixiraeoeok ioxexciaiox xn PEZ@ eopyrdo`i dohhepxrebyxenop grna xfi gyoh ng `ypxnair zrnzirxu `nychbi `dc`ycdxih bdpih yzno xfi oix `dpf hiznpexih nwirxfi `nyrpi ng xfier ricdxenopfez {exf xfier brnmir rdxfirxfdo eo d``nrhdo`i {exf PEZD―p hiffloexeno ng –oix ityexu/‑Xfi @nyrx fich xfdx exp ryceok {dp dzzrnzredxi bi`dypion pi`yrexeip {iri zyr`fdpih bu Adhngg Pi`yrexeip dohbi`dypi zduaiox bu PEZ@ nyx ng gyohp dppippih grna
exp aiabirp {nych heaeoepf xfi gyohp dwdecdbci xn nxfir`ypxnairp &d zripyaih gd`x {fe`f ep eopyzznrxdbci bdpihyzno PEZD%/ Pii Eo ri Adhngg Pi`yrexeip 798 G/ 0rh dx28:/ &Dzz/ D 24!22d%/
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5
RIDPNOP XN KRDOX XFI ZIXEXENO
Xfep @nyrx pfnych krdox xfi {rex ng ̀ irxenrdre bi`dypixfi @nyrx ng Dzzidcp fdp hi`ehih do eaznrxdox tyipxenong gihirdc cd{ xfdx ep noi ng fflrpx eazrippeno doh xfdx fdponx biio byx pfnych bi pixxcih bu xfep @nyrx/ [exf xfipxrnmi ng exp zio doh eo hiffldo`i ng xfep @nyrx―p zri`izxp ng cikepcdxewi eoxirzrixdxeno xfi @nyrx ng Dzzidcp dbrnkdxihxfi ioxeri PEZD pxdxyxnru p`fiai doh oyccefflih d gihirdc
cd{ gyohdaioxdc xn xfi py``ippgyc nzirdxeno ng xfi ̀ dzexdcadrmixp/ @noxrdru xn xfi `cidr cdokydki ng PEZD xfi@nyrx ng Dzzidcp fdp kewio iwiru PEZ@ xrypxii xfidyxfnrexu xn hixiraeoi dgxir d cnpp xfi ivxiox &eg dx dcc%xn {fe`f PEZ@ pfdcc bi rityerih xn zrnwehi xfi zrnaepihPEZ@ eopyrdo`i xn id`f eolyrih eowipxnr/ Yocipp xfep @nyrxpixxcip xfep `rexe`dc gihirdc eppyi dcc pi`yrexeip eowipxnrp
{ecc cnpi xfi `nofflhio`i xfdx PEZD {dp eoxiohih xn eopxecceo xfi `dzexdc adrmixp/
On cnokir ̀ do dou pi`yrexeip ̀ ypxnair ricu yzno PEZ@
eopyrdo`i bi`dypi d `ypxnair `doonx mon{ yoxec dgxir dcnpp {fixfir xfi xrypxii dzzneoxih eo fep zdrxe`ycdr ̀ dpi
{ecc `fnpi xn gnccn{ xfi PEZD hiffloexeno ng –oix ityexu‑nr hiwepi pnai nxfir gnraycdxeno ng hepxrebyxeno bdpihyzno fep n{o piopi ng –gderoipp‑ doh.nr PEZ@―p hiperi xn`nopirwi exp gyohp/
@nokripp onx xfi Pi`noh @er`yex hixiraeoip xficd{/ Doh {fio dp eo xfep ̀ dpi –xfi {nrhp ng d pxdxyxi driyodabekynyp xfio xfep fflrpx ̀ dono ep dcpn xfi cdpx< ‖lyhe`edceotyeru ep `nazcixi/―‑ @noo/ Odx―c Bdom w/ Kiradeo# 9:0
Y/P/ 285 290!98 &4552% &eoxirodc `exdxenop naexxih%= pii Madrx @nrz/ w/ @drxeir# Eo`/# 867 Y/P/ 264 264 &4566% &–Eg xfi pxdxyxi ep `cidr doh yodabekynyp `nyrxp aypx kewiiggi`x xn @nokripp― yodabekynypcu ivzrippih eoxiox]/Q‑%=
8/3/2019 Petition for Writ of Certiorari SCOTUS - Can you rely on your brokerage statements?
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4:
pii Xucir w/ Hnykcdp# 26: G/0h 447 422 &2h @er/ 2::4%&pdai%= d``nrh Kriioiru Rifdb Krnyz# Eo`/ w/ Fdaano49: G/0h 227 204 &2h @er/ 4556% &–Eg xfi pxdxyxnru xirap driyodabekynyp nyr riwei{ kioirdccu iohp doh xfi pxdxyxi ep`nopxryih d``nrheok xn xfi zcdeo aidoeok ng exp {nrhp/‑%/
@nokripp― `cidr eoxiox xn eopxecc `nofflhio`i eo xfi`dzexdc adrmixp bu zrnxi`xeok d `ypxnair―p –cikexeadxiivzi`xdxenop‑ fdp biio hipxrnuih bu xfi Pi`noh @er`yex―p
hi`epeno/ Pii PEZ@ w/ Bdrbnyr 824 Y/P/ 842 849 &45;9%&–@nokripp iod`xih xfi PEZD / / / xn ripxnri eowipxnr`nofflhio`i eo xfi `dzexdc adrmixp / /%= Eo ri Oi{ Xeaip
Pirwe`ip# Eo`/ 0;4 G/0h 76 6; &2h @er/ 2::0% &PEZD epeoxiohih xn –zrnanx]iQ eowipxnr `nofflhio`i eo xfi pi`yrexeipadrmixp doh zrnxi`]xQ brnmir!hidcir `ypxnairp/‑%=
Pi`yrexeip doh Iv`fdoki @naaeppeno w/ Dcdo G/ Fykfip# Eo`/ 874 G/2h 5;8 5;; &2h @er/ 45;2% &PEZD {dp iod`xihbu @nokripp eo 45;: xn dggnrh zrnxi`xeno xn pi`yrexeip–`ypxnairp eo xfi iwiox brnmir!hidcirp {exf {fnaxfiu xrdopd`x bypeoipp io`nyoxir fflodo`edc heg ffl`ycxeip
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8/3/2019 Petition for Writ of Certiorari SCOTUS - Can you rely on your brokerage statements?
http://slidepdf.com/reader/full/petition-for-writ-of-certiorari-scotus-can-you-rely-on-your-brokerage-statements 22/24
44
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8/3/2019 Petition for Writ of Certiorari SCOTUS - Can you rely on your brokerage statements?
http://slidepdf.com/reader/full/petition-for-writ-of-certiorari-scotus-can-you-rely-on-your-brokerage-statements 23/24
42
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8/3/2019 Petition for Writ of Certiorari SCOTUS - Can you rely on your brokerage statements?
http://slidepdf.com/reader/full/petition-for-writ-of-certiorari-scotus-can-you-rely-on-your-brokerage-statements 24/24
40
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