CONTENTS 5, 452 Morley, Thomas, senior vice president, E.F. Hutton & Co., Inc Castellano, Michael, comptroller, E.F. Hutton & Co., Inc...... Sullivan, William, former money mobilizer, E.F. Hutton. 1001 Prepared statement 1002 Holland, John, branch manager, Boulder, CO, E.F. Hutton....... 1072 1111 ADDITIONAL MATERIAL Memorandum from Thomas P. Morley to Regional Operations Managers on 1166 1201 Wire from Thomas P. Morley to John Latshaw and Mike Wallace, dated Wire from Thomas P. Morley to Austin Doree and Mike Goldstein, dated Wire from Thomas P. Morley to Bob Witt and Bob O'Neil, dated February 22, 23 Wire from Thomas P. Morley to Auston Doree and Mike Goldstein.. Wire from Austin Doree and Mike Goldstein to Thomas P. Morley 29 Wire from Robert Mencer to cashiers, Pacific North and South, on draw- Organizational chart, E.F. Hutton Group, E.F. Hutton & Co., Inc. E.F. Hutton revised banking worksheet.. Memorandum from Thomas P. Morley to Regional Operations Managers on drawdown procedure, dated July 9, 1982, with attachment Memorandum from W. Robert Hein to Richie Genin, dated July 16, 1985 with Memorandum from Michael Goldstein, dated July 16, 1985, with attachments. Memorandum from Linda Curtiss on Midwest region planning meeting, dated November 20, 1981, with attachments.. Annual audited report form X-17A-5 and supporting documents relating to the reconciliation for the period ending December 31, 1984.... Letter from J.N. Gilreath to Leroy C. Lucas, dated January 13, 1982. Memorandum from Kevin R. Mahoney to regional operations managers on bank account analysis, dated June 8, 1981, with attached article... Document from James H. Schuppert on meeting with Thomas Morley and Lou Milazzo, dated July 10, 1980. Document by Stephen A. Laserson on meeting with Tom Morley and Kevin Memorandum from Christopher T. Mahoney to John Svengle on deposit accounts of E.F. Hutton and Dean Witter, dated May 7, 1985... Memorandum from Paul Hines to Tom Morley on testing of checks, dated Letter from Karen de Klerk to Joseph DiDonato, dated May 22, 1985. Letter from Karen de Klerk to Thomas Sherman, dated June 7, 1985. Letter from Karen de Klerk to Joseph DiDonato, dated June 7, 1985, with Letter from Diana DeMarco to Thomas Morley, dated April 12, 1985. Memorandum from Thomas P. Morley to regional operations managers on drawdown worksheet, dated June 13, 1985, with attached worksheet Letter from Thomas F. Curnin to Thomas W. Rae, dated May 3, 1985 Memorandum from Norman M. Epstein to Tom Rae, dated May 28, 1982, Bank receipts from Commonwealth National Bank, Harrisburg, PA. Memorandum from Christopher T. Mahoney to J.T. Zofren, dated December 12, 1983, with attached article.... Memorandum from NAD-Operations Administration to Chris Mahoney, Letter from Francis G. Addison to George L. Ball, dated April 30, 1982.. Letter from John A. Pecilunas to Thomas Morley, dated March 10, 1982, with Letter from John Pecilunas to Thomas Morley, dated April 6, 1982. Letter from Thomas P. Morley to John Pecilunas, dated April 28, 1982.. Letter from Francis G. Addison to Thomas P. Morley, dated April 30, 1982.. Letter from Francis G. Addison to George L. Ball, dated April 30, 1982.. Letter from Lawrence P. Hagan to Thomas P. Morley, dated April 9, 1982. Letter from Lynn R. Dillon to Randall L. Miles, dated October 7, 1981. Memorandum from Michael P. Castellano on interest earned on regional Memorandum from Michael P. Castellano to George Ball on interest on regional bank overdrafting, dated February 9, 1982... Letter from Zoe E. Baird to the Honorable Bruce A. Morrison, dated July 18, Financial and Operational Combined Uniform Single Report for May 1985. through March 1985 Financial and Operational Combined Uniform Single Report for February 28, 1985..... Financial and Operational Combined Uniform Single Report for January 1985 Financial and Operational Combined Uniform Single Report for December 31, 1984... Page 293 297 298 313 329 345 360 376 Report of financial condition, dated February 15, 1985. 392 456 466 476 Letter from Zoe E. Baird to the Honorable William J. Hughes on amount of 485 487 488 Letter from Christopher T. Mahoney to Thomas P. Lynch, dated May 31, 1985, with attachments.. Memorandum from Thomas P. Morley to Mike Castellano on Bank of Amer- Memorandum from E.F. Hutton & Co., Inc. on "misencoded" checks, dated Memorandum from William Sullivan to John Cowhey on branch disburse- 498 499 510 533 537 Letter from Zoe E. Baird to the Honorable William J. Hughes, dated November 11, 1985... 538 Letter from the Honorable Bruce A. Morrison to Zoe E. Baird, dated November 14, 1985... 540 Letter from Thomas F. Curnin to Ernest Dippel, dated June 26, 1985, with attachment 542 Letter from Zoe E. Baird to the Honorable Bruce A. Morrison, dated November 22, 1985..... 545 Letter from Robert C. Vanderet to the Honorable William J. Hughes, dated 548 Memorandum from Thomas W. Rae to all branch managers on audit of records, dated January 19, 1983. 552 E.F. Hutton "Overview," dated May 2, 1985. 554 Memorandum from Jack Lees to certified branch operations managers, operations supervisors, Pacific North and Pacific South regions on record retention, dated January 18, 1985... 598 Subpoena from U.S. District Court for Middle District of Pennsylvania to 603 605 607 608 Subpoena from U.S. District Court for Middle District of Pennsylvania to 609 Letter from David Dart Queen, U.S. attorney, to Thomas F. Curnin, dated 610 Report of Postal Inspector J.A. Holland, dated June 26, 1984. 621 Note from Peter B. Clark to Robert W. Ogren on conversation with Thomas 624 Letter from Robert W. Ogren to Thomas F. Curnin, dated February 4, 1985.. 625 626 630 Transcript of pretrial conference, United States v. E.F. Hutton & Co., Inc., Memorandum to Peter B. Clark from Albert R. Murray, dated December 28, Letter from Stephen S. Trott to David D. Queen, dated December 31, 1984.. Letter from Stephen S. Trott to the Honorable John Glenn, dated May 29, Letter from Robert W. Ogren to Charles A. Stillman, dated August 7, 1984...... Letter from Thomas F. Curnin to Albert R. Murray, dated March 28, 1985 Page 633 634 635 636 637 639 645 648 649 650 651 652 654 656 657 661 663 666 669 670 671 672 674 720 Transcript of pretrial conference, United States v. E.F. Hutton & Co., Inc., 778 Complaint for permanent injunction and ancillary relief, United States v. E.F. 864 Criminal information, United States v. E.F. Hutton & Co., Inc.. 879 Consent and undertaking of the E.F. Hutton Group, Inc., and E.F. Hutton & 887 Final Judgment of permanent injunction against E.F. Hutton Group, Inc., and 896 Notice of plea agreement, plea agreement and exhibits. Memorandum from Tom Lillis to George Ball, dated April 23, 1980 Memorandum from Richie Lee to Atlantic region cashiers/CBOMS, dated 1080 Memorandum from George L. Ball to regional vice presidents, regional sales managers, and branch office managers, dated August 5, 1981 1089 Memorandum from George L. Ball to regional vice presidents and sales managers, dated October 27, 1980... 1092 Memorandum from Joe McAdams and Gene Cahalan to all branch and satellite managers, dated October 21, 1980.. 1093 Financial analysis for Wilkes-Barre branch by U.S. Department of Justice for 1103 Checking account statement of E.F. Hutton at National City Bank of Cleveland for September 1981. 1115 Bank reconciliation form for National City Bank account for September 30, 1981 balance.... 1118 Memorandum from Mercedes E. Neff, dated March 26, 1982. 1127 Memorandum from James Kelly to Atlantic region cashiers, dated June 2, 1981.. 1131 Letter from Zoe E. Baird to Virginia Sloan, dated December 4, 1985................... 1134 Page Letter from Paul Hines, dated June 4, 1985. 1135 Memorandum from Richie Lee to Atlantic region cashiers/CBOMS, dated 1146 Memorandum from James Kelly to Atlantic region cashiers, dated June 2, 1981.. 1153 Memorandum from Thomas P. Morley, dated March 6, 1981. 1158 1163 1164 Memorandum from George Ball to John Latshaw, dated February 25, 1982...... Memorandum from George Ball to regional vice presidents and regional sales managers, dated December 18, 1981.. 1169 1168 Memorandum from George Ball to regional vice presidents, regional sales managers, and branch office managers, dated August 5, 1981 1170 Memorandum from George Ball to regional vice presidents and regional sales managers, dated April 27, 1981. 1171 Memorandum from Tom Lillis to Tom Morley, dated May 12, 1981 1180 1182 Memorandum from John Latshaw to George Ball, dated October 15, 1981. 1185 Memorandum from Gary D. Irish to Lee Broad, dated September 8, 1981, with attached study...... 1187 Letter from Thomas F. Curnin to Ernest Dippel, dated June 26, 1985. 1194 1205 |