EFTA01321744.pdf

EFTA01321744 Statements SDNY,,00352239 CONFIDENTIAL EF7A_00224931  CLEARANCE AGENT FRIEDMAN, BILLINGS. RAMSEY & CO., INC. TO OFFICE SERVICING YOUR ACCOUNT 1001 Ninemerch Street Nut Arington. V • La 22209.1722 SIen Seonses Corp Cre lAtbaecit C01141 Nem Omit" lam Yen 112014960 FBR Tar FINANCIAL TRUST CO..INC viSft OUR WE8SiIE wavittoom srAntec Percoo Plannter 29.2'003 /Mac., Dabien r 31.2003 ACCOV,C %WSW Important Message IFI 7.00.AVER mAiefit on rm II any information regarding 2003 interest. dhidends. LAST STATEMENT Semmiter 30.2003 miscellaneous income. moss proceeds or ccignal issue FINANCIAL TRUST CO., INC diSCOunt is regired to be reported to the IRS for this account. a Consolidated Form 1099 will be mailed to you by 600 REOHOOK QUARTER STE B-3 Februmy 2. 2004 cc a 1042Sby March 15,2004. ST THOMAS US US VI 00802 z m C rn Transaction Detail z J INVESTMENT ACTIVITY SITIDADit ylOt MN DAIS TRANSACTiCh OESCRP11:01 SYMBOLCUSIP 00210TY enKl OW WANT CREW A.u0Ohl 12/17/03 DELIVERED FRANKLIN BANK CORP 352448203 .100.000 r CL A ACCREMIED TWS Ca TO- TOTAL OPZZSEOCIA19- ANCIS The 'Amway It Ice leforeallal pens. coy. II It nit tine as nriecomeit t 711, WRENS shoal to mood tot 'eve reaeds See mem 0:16 tar npaun Munroe, 027 01/01/04.1556 CO, rn 8 b.) IJ IJ EFTA01321745  CLEARANCE AGENT FRIEDMAN, BILLINGS, RAMSEY & CO.. INC. TO OFFICE SERVICayG YOUR ACCOUNT 1001 Nineteenth SUM Noah Aningtay. v ',goiter.* 222O9.1722 Dm. Sawn Sccurbes Cep. Cr* Itheeccath Caw ,,bei !keen" met yak 11201.3859 FBR FINANCIAL TROST CO., INC 2 or • !MAW gybe° Nthember 29.2OO3 1141013111 Decerreer 31. 2003 ACCOWT MAW TAXPAYINt totem On lie Your messages v•ST STATOKNT Septeente 30.2033 BaP• As part of the National Association of Securities Dealers (NASD) Investor IMPORTANT NOTICE TO CUENTS: Disclosure or Order Execution and Routing Education Program. you may obtain information on the WASTYs NU Practices Sec Rule 1lAc1-5 (Monthly report) requires 'market centers that 'i i Program by contacting the NASD at telephone number trade Nasdaq National Market, Nasdaq Small Cap securities and or via the intemet address *rich is wini.nasdr.com. In addition, a exchange-listed securities to make publicly available standardized. monthly iro ci ure explaining the Public Disclosure Program is available from the NASD statistical information about 'covered order executions. as defined by the rule. O upon request. Friedman. Billings, Ramsey & Co., Inc. (FBRC) is an OTC market maker and therefore considered a 'market center. Rule Act -5 is intended to promote visibility and competition in order execution quality. In order to enable -n cross-market comparisons, the Rule establishes uniform measures of execution quality, among them effective spread. rate of price improvement, at rate and execution speed. The rule also requres the statistics to be C categorized by individual security, order type and size (100-499 shares, in 500-1999, 2000-4999. 5000-999), It is Important to note that orders for 10.000 shares or more are exempt from the rule and are therefore not included in the statistics. r TPZZSEOCIA19- ANGS 027 01.01*405,54 001 VB1S EFTA01321746  CLEARANCE AGENT FRIEDMAN. BILLINGS. RAMSEY & CO.. INC. CO OFFICE SERVICING YOUR ACCOUNT 1001 Nneteenth SOW Math EsUpton. VI /a 222094722 Bey Mints Scones Ccep. Cwe WM:rain Conti Mae 119019n hex at 20 4859 FBR Fat FINANCIAL TRUST CO..ific 3 9, 4 STATMENT FIFOOI November 29.2003 n4e01)21 Deserter 31.2003 ACCOVO Mann TAXPArCit Man On Fie LArr STATtlitwi SillifFbai 30.2033 SEC Rule 11Ac1-6 (Quarterly report) requires broker/dealers that route orders Excess SIPC Account Protection Update TO1NR0UNO0 in equity and option securities to disclose the identities of the execution Bear. Steams Securities Corp. cEISSC), a member of the qi-owities Investor venues to which they route orders on behalf of customers, and the material Protection Corporation ('SIPC1. povIdes account protection for the net equity aspects of the relationships the broker/dealer may have with those venues, if of a customer's funds and securities positions. SIPC provides $500.000 of applicable. In accordance with SEC Rule 11Ac1-6, upon your request. we will pinsy net equity protection. including $100.000 for claims for cash (*SIPC disclose the identity of the venue to which your ceder was routed for execution Coverage". Visit voitrisipcbcg for more information about SIPC Coverage. and the time of execution. within the time period of the six months prior to MSC provides the additional protection ('Excess SIPC through a commercial your request. Each market center is required to prepare and make publicly insurer. Effective February 16. 2004. the commercial nsurer for Excess SIPC available the monthly and quarterly reports in electronic form, free of charge will change to Customer Asset Protection Company rCAPC01. a licensed New and available fa downloading from an Internet site, This information Is York insurance company, Account protection applies when a SIPC member available tie our website at veww.fbr.com. Mrs information is presented in firm fails financially and is unable to meet its obligations to its securities accordance with the SEC Rule 11Acl -S and 1-6 requirements. A written copy customers, but does not apply to losses from the rise or fall in the market of the quarterly report is available upon request. value of investments or to SIPC Iheligible assets such as options. futures. foreign exchange transactions, or any investment contracts that are not Additional information regarding the rule, interpretations and exemptions can registered as securities. be obtained directly from the SEC at mivi.sec.gov and the NASD at wiviv.nasol.com. End of StateD100 ZPZZSE00-019-ANCIS 027 01/01R24.15 S6 001 tiaZZOO-V.L.43 EFTA01321747  el 1121 AGENT ANL Swans Statue Co Oft Llama Com - sit 111014450 FINANCIAL MIST CO.,INC 0 z -n STATEMENT BACKER IS PRINTED ON THIS PAGE C in z -H r EPZZSECIO IN9 ANGS _ 017 01101/14:15.56 001 410 SE6tZZOO- V.L43 EFTA01321748  CLEARANCE AGENT RIF.DNIAN. BILLINGS, RAMSEY a CO.. INC. TO OFFEE SERVICING YOUR ACCOUNT 1001 Nineteenth Street NOM Adelson Tele 22 ear. Sten Sonnet GAIL One IMMed, CAS Neeth Orueldr. New YR; 11201.1659 FBR Tel E-mai FINANCIAL TRUST CO.. INC VISIT OuR WEBSTT I rem.. th.com STATOSENT RPM August 30.2003 Tel.COON Sescomber 30.2003 ACCOUNT htttallt Important Message ll.IIIIIIIIIIl,ll III %VIJAY." MAW On tie Yoke Brokerage Firm and Boar Stearns are pleased to LAST STAID/ENT KM 27. 2003 announce the conversion to a calendar month-end FINANCIAL TRUST CO- INC statement. Effective this month. your account statement 600 REDHOOK QUARTER STE B-3 reflects all actmty and &cowl valuation up to and includng the last business day or the month. ST THOMAS US C) US VI 0O802 O z m C Your Portfolio Holdings rn z J EQUITIEB Equities & Options ACV WAR.IT EMMEN CURRIN1 DETOISPRON SYMIXRCLIJR 191 °wain( ARRA VILLE AWAY. %CPA MID ow FRANKUN BAN% CORP 352448203 CASH 100.000 Unpriced Q. A ACCREDITED eon r Total Equities& Options SO so TOTAL EQUITIES SO so t74ZZSEOCIA19- ANCIS nay * Sim The nRenreptal PIRPeeete orry. ft Senewe • Lie bare*. Tees stremert OW be reeiln/atN yenmod* Se• mown ado Re' reDenal rrorraun 027 10010111 17 001 Vest EFTA01321749  CI r"o"am AGENT FRIEDMAN. BILLINGS. RAMSEY & CO.. INC. TO WEE SERVICING YOUR ACCOUNT 1001 Mneteenth Seem Natty Arngten. V 22209.1722 Ow Sten Smote& Co". Qe WeIrcfecs Caw Soli Itotihn. Ana Yak 11201.3559 FBR Fat E-Ma FINANCIAL TRUST CO..INC 2 a3 STATPAINT PFROD AIAJUSt 30.2003 hamom Sweaty 30.2033 AGLOW, NAME* TAIWAYLK NIAJOCR On Flo Your messages LAST STATSOIT lure 27.2033 Ba=' Bear. Steams Securities Corp. Net Capital and Net Capital Requirements: IOW margin Securities and other assets in your account we the firm's collateral for any loan made to you. If the securities and other assets in your account At May 31, 2003 and July 31. 2003. the Company's net capital of decline in value. so does the value of the collateral supporting your loan, and. approximately 52.4 billion and 53.0 billion was approximately 6% and 7% of as a result. the firm can take action, such as issue a margin call andla sell 0 aggregate debit items and exceeded the minimum regulatory net capital requirement el approximately 5799.5 million and $904.4 million by approximately 51.6 billion and 52,1 billion. all respectively. securities or other assets in any of your accounts held with the member, in order to maintain the required equity in the account. It is important that you fully understand the risks involved in trading securities on margin. These risks include the following: -n A complete copy of the Bear, Steams Securities Corp. Statement of Financial Condition is avaiable on the web site vemv.bsscfinancialstatement.com. Altemattrely. to request a free printed copy please call • toll free You can lose more funds than you deposit in the margin account. C The firm can force the sale of securities or other assets in you rn account(s). The firm can sell your securities a other assets without contacting you. You are not entitled to choose which securities or other assets in your accoum(s) are liquidated or sold to meet a margin call. The firm can increase its ladose* maintenance margin requirements at r any time and is not required to provide you advance written notice. You are not entitled to an extension of time on a margin call. End Of Statement SPZZSE00- 019- ANGS 027 100103.11:17 001 VI13 EFTA01321750  CLEARANCE AGENT e_. Pan Scone CCM Ore *tan. On Mall tbuser. Mee Yon 11201,33$9 FINANCIAL TRUST CO ,INC O z m STATEMENT BACKER IS PRINTED ON THIS PAGE ci m z H r 917ZZSEOCIND- ANGS 027 1601/03:15cl? 0:71 XI13 8 IJ IJ IN 00 EFTA01321751  FRIEDMAN. BILLINGS, RAMSEY A CO.. INC. CLEARANCE AGENT re OFFICE SERVICING YOUR ACCOUNT 1001 Aineteenth Street North Masten. • • 22 list Sian Secolfes On 1Amireoch Ores Noss 1110:10,1% Nit Cot 1120146Si FBR Fax FINANCIAL TRUST CO..INC ASH OUR wtesrit metibt.com CIMINO'S Pam May 31. 2003 notouca. Are 27.2003 ACCOlte NUMBER Important Message IIr.Jln.lnlrll II TsynOnilt NNISER CM II* Confirmation: Unless we hear from you to the contrary. A Is nu understanding that any free credit balances in your FINANCIAL TRUST CO., INC LAST STAILIOSST Meech 28. 2003 account are being maimaired to facilitate your intention to 600 REDHOOK QUARTER STE ELS inmst such amounts through us. ST THOMAS US USN 00802 0 z -n C Your Portfolio Holdings rn z ECIUMES Equities & Options ACCT WAXES ISTOMOD PROEM 013010P0014 SWBOUtilS11 1Y14 0).0.1nry MCC VALI MOW& WOK MD ON FRANKUN BANK CORP 352448203 CASH 100.000 Unprzed Cl A ACCREDITED NYS r Total Equities& Options TOTAL EQUITIES SO SO SO SO LPZZS£00 IN9 ANGS _ 'in ;ArminIs for Ill'anCOCCII3irpOla 0119.11i set Itinted Winn Coccooll. nit usenet teas be "Celled sr oats newts Soo towns ode kr orcatarc at*warn 027 042801;14.SO 001 KOS 6£61,ZZOO-V.L.43 EFTA01321752  CLEARANCE AGENT M. Stem Sec it GYP. 01, lArrorach Carte North Dreatlyrk New Vat 11201.1030 FINANCIAL TRUST CO..INC 2 0 z m STATEMENT BACKER IS PRINTED ON THIS PAGE ci m z r 8VZZS£00 IND ANDS 027 C412001,14 60 001 VI0S OtttiZOO- V.L.43 EFTA01321753  CLEARANCE AGENT FRIEDMAN. MI L I nce. N %NI \I \ A ro NC. re OFFICE SERVICING YOUR ACCOUNT 1001 unetswth Stint North Merton. i a 2 Sr. Sierra Senstme Cap Ore lAtereiaM Coeur Nom Mt. NA 112014859 FBR FINANCIAL TRUST CO., INC MT OUR VIIBSITE STATEMENT Pfl Much 1,2003 wenvibt.COm rasuav Minh 28.2003 AE02042 KAMER What's In This Statement II...II...1..1.1i II TAXPAYER MASSA CM FEE FINANCIAL TRUST CO., INC LAST srArtnava Decemter 31.2002 Your Portfolio HoUngs 1 Your Messages 2 600 REDHOOK QUARTER SIE B-3 ST THOMAS US C USN 00802 0 z m ci m Your Portfolio Holdings z EQUMES H Equities & Options MEI IMRE,I /STIMATID CURRENT DISCANNION SYMEOLOSP 119f SWAM TIME SAME AMES MOM 100 RI r FRANKLIN RAW CORP CL A ACCREDITED MS 3 2,1492,,,:? CeS4 1C^. CCO LI2M, CO2.. Total Equities& Options SO SO TOTAL EQUITIES so so 617ZZSE00- O19- ANGS sic 1Ne unwary le ler Swami mem wry. It MS iterAlml Intl= Oxivrev. The itieeinerl MEM to KAMM G yxr words See Mine QM Si Inpeotn we:mew 027 03/2001.15 SE 007 VGAZ EFTA01321754  FRIEDMAN. 811.1 INGS. It %NISEI. A, CO.. INE CLEARANCE AGENT re OFFICE SERVICING YOUR ACCOUNT 1001 Nineteenth Street North Xiniyan. To 2 sow. Steamy Semite COP. bra WARW. Cerny NOM -311.9 FBR Fax EaAa FINANCIAL TRUST CO..INC 2 el 3 Sirmstepc: PERIOD Muth 1.2003 Denito3m With 20. 2003 ACCOJX1 waste TAXPAYER µAOFR Your messages u.S'r SlATTIMMT December 31.2002 ta' Requirements: Bear. Stearns Securities Corp. Net Capital and Net Capital NOTICE OF CHANGE PURSUANT TO THE TRUTH IN LENDING SEC RULE 10b-16 Effective as of May 21, 2003. the annual rate of interest charged on At November 30. 2002 and January 31. 2003. the Company's net any credit extended to you by Bear Steams Securities for the purpose of 0 capital of approximately 52.4 billion and 52.4 billion was approximately 7% and7% of aggregate debit items and exceeded purchasing. carrying or trading in any security or other property shall be based on either the BSSC Base Lending Rate, the BSSC Z T the minimum regulatory net capital requirement of approximately S716.3 million and 5684.1 million by approximately 51.7 billion and Fed Funds Rate or the London Interbank Offering Rate ('LIBOR'). The BSSC Base Lending Rate will be quoted by 51.7 billon. all respectively. Bear Stearns at our main office in New York. Factors affecting the