-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Ke/bDJW8Ch34qf/D5BXKv0v8CYUNobJ7m+xW50Qit6sSxK+b7oy1meeoWEhyK3hD v96OnYqc/HJ6TRWJXNQ7nw== 0000898432-08-000532.txt : 20080605 0000898432-08-000532.hdr.sgml : 20080605 20080604212901 ACCESSION NUMBER: 0000898432-08-000532 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080604 ITEM INFORMATION: Other Events FILED AS OF DATE: 20080605 DATE AS OF CHANGE: 20080604 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Merriman Curhan Ford Group, Inc. CENTRAL INDEX KEY: 0000826683 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 112936371 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-15831 FILM NUMBER: 08881827 BUSINESS ADDRESS: STREET 1: 600 CALIFORNIA STREET STREET 2: NINTH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94108 BUSINESS PHONE: (415) 248-5640 MAIL ADDRESS: STREET 1: 600 CALIFORNIA STREET STREET 2: NINTH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94108 FORMER COMPANY: FORMER CONFORMED NAME: MCF CORP DATE OF NAME CHANGE: 20030722 FORMER COMPANY: FORMER CONFORMED NAME: RATEXCHANGE CORP DATE OF NAME CHANGE: 20000512 FORMER COMPANY: FORMER CONFORMED NAME: NETAMERICA COM CORP DATE OF NAME CHANGE: 19991116 8-K 1 merriman-8k.txt - -------------------------------------------------------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 - -------------------------------------------------------------------------------- FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 DATE OF REPORT (DATE OF EARLIEST EVENT REPORTED): JUNE 4, 2008 - -------------------------------------------------------------------------------- MERRIMAN CURHAN FORD GROUP, INC. (Exact Name of Registrant as Specified in Charter) DELAWARE 001-15831 11-2936371 (State or Other Jurisdiction (Commission File Number) (IRS Employer of Incorporation) Identification No.) 600 CALIFORNIA STREET, 9TH FLOOR, 94108 SAN FRANCISCO, CALIFORNIA (Zip Code) (Address of Principal Executive Offices) Registrant's telephone number, including area code (415) 248-5600 (Former Name or Former Address, if Changed Since Last Report) Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions: [ ] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) [ ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) [ ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) [ ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) 1 - -------------------------------------------------------------------------------- Item 8.01 Other Events Merriman Curhan Ford (the "Firm") announced today that in addition to the previous matters set forth in the Form 8-K filing made on May 29, 2008, three civil cases have now been filed by third-party lenders against the Firm, William Del Biaggio III and a former retail broker of the Firm. The lenders allege that Mr. Del Biaggio defaulted on multi-million dollar loans obtained from these lenders. The complaints further allege that the broker, while still employed with Merriman Curhan Ford, signed account control agreements purporting to pledge various retail client stock accounts as collateral for the Del Biaggio loans. Merriman Curhan Ford has determined that if the broker signed these agreements, he was not authorized to do so, nor was he permitted to pledge any assets in those accounts for loans by third parties to Mr. Del Biaggio. The law suits filed to date seek damages in excess of $17 million. The Firm anticipates that additional claims will be asserted against it by Mr. Del Biaggio's lenders. Merriman Curhan Ford has notified the 10 clients whose accounts could have been affected by the unauthorized use of their account information. Merriman Curhan Ford is not aware of any loss actually suffered by any of its clients and has taken additional measures to safeguard these assets on behalf of its clients. Merriman Curhan Ford intends to vigorously defend the allegations made against it and believe the claims have no merit. Merriman Curhan Ford has terminated the employment of the broker who previously had been suspended, effective June 4, 2008. The Firm continues to cooperate with the Securities and Exchange Commission and the United States Attorney's Office in San Francisco in their investigations. SIGNATURE Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. MERRIMAN CURHAN FORD GROUP, INC. Date: June 4, 2008 By: /s/ D. JONATHAN MERRIMAN ------------------------------- D. Jonathan Merriman Chief Executive Officer 2 - -------------------------------------------------------------------------------- -----END PRIVACY-ENHANCED MESSAGE-----