Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-almd-2_03-cv-00661/USCOURTS-almd-2_03-cv-00661-0/pdf.json

Nature of Suit Code: 791
Nature of Suit: Employee Retirement Income Security Act (ERISA)
Cause of Action: 29:1001 E.R.I.S.A.: Employee Retirement

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 However, to assist the parties in their upcoming mediation, the court advises the parties

that it is not convinced by defendants’ argument or the authority cited in their motion that any

malfeasance by James or Mark Hartzog with regard to Plan assets precludes the Plan’s claim against

A.G. Edwards and Tew for damages arising from the alleged negligence of A.G. Edwards and Tew.

IN THE DISTRICT COURT OF THE UNITED STATES

FOR THE MIDDLE DISTRICT OF ALABAMA

NORTHERN DIVISION

JAMES E. HARTZOG, as Trustee for )

H & H DOORS AND HARDWARE, INC. )

PROFIT SHARING PLAN, )

)

Plaintiff, )

)

v. ) CIVIL ACTION NO. 2:03CV661-W

) WO

A.G. EDWARDS & SONS, INC., et al., )

)

Defendants. )

ORDER ON MOTION

This action is presently before the court on the motion requesting a pretrial ruling that

plaintiff’s recovery is limited to losses attributable to “innocent” beneficiaries (Doc. # 109)

filed by defendants A.G. Edwards and Tew. The motion has not been submitted on

stipulated facts and the court has determined that it is unable to render a binding decision on

this issue on the present posture of the case. Accordingly, it is

ORDERED that the motion is DENIED.1

DONE, this 26th day of April, 2005.

/s/ Susan Russ Walker 

SUSAN RUSS WALKER

UNITED STATES MAGISTRATE JUDGE

Case 2:03-cv-00661-SRW Document 113 Filed 04/26/05 Page 1 of 1