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): May 29, 2008
MERRIMAN
CURHAN FORD GROUP, INC.
(Exact
Name of Registrant as Specified in Charter)
|
Delaware
(State
or Other Jurisdiction
of
Incorporation)
|
001-15831
(Commission
File Number)
|
11-2936371
(IRS
Employer
Identification
No.)
|
|
600
California Street, 9th Floor,
San
Francisco, California
(
Address of Principal Executive Offices)
|
94108
(Zip
Code)
|
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:
o
Written communications pursuant to Rule 425 under the Securities Act (17 CFR
230.425)
o
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR
240.14a-12)
o
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange
Act
(17 CFR 240.14d-2(b))
o
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange
Act
(17 CFR 240.13e-4(c))
Merriman
Curhan Ford is cooperating in investigations by the Securities and
Exchange Commission (SEC) and United States Attorneys Office in San Francisco
into activities of a retail client and broker, the firm’s trading in certain
stocks, and the firm’s supervisory system. Merriman Curhan Ford has retained
outside counsel and is conducting its own inquiry into the issues raised by
the
government investigations.
In
the
course of its internal inquiry, Merriman Curhan Ford suspended a retail broker
for violating the firm’s policies regarding the use of client account
information. The broker appears to have assisted a retail client in obtaining
loans from third parties using information from the accounts of other retail
clients.
Merriman
Curhan Ford was neither a borrower nor a lender in any of these loans. The
company is focused on institutional firms and does not provide retail lending
to
individuals. The retail business of the broker under investigation accounted
for
approximately 1% of the firm’s total 2007 revenues.
All
of
the broker’s clients whose accounts were potentially impacted have been
contacted. Merriman Curhan Ford will continue to review this matter and provide
additional information to clients as it becomes available.
Merriman
Curhan Ford will continue to cooperate fully with the United States Attorneys
Office and the SEC.
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.
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MERRIMAN
CURHAN
FORD GROUP, INC. |
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Date:
May 29, 2008
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By: |
/s/ D.
JONATHAN MERRIMAN |
| |
D.
Jonathan Merriman
Chief
Executive Officer
|