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violation of section 12(a)(2) of the Securities Act; violation of section 11 of the Securities Act; violation of section 15 of the Securities Act; violations of fair dealings with customers under FINRA rules Bear, Steams & Co., Inc. Cioffi, Jr.; Matthew Tannin; Raymond Mc Garrigal; Norman Lang unsuitability; violations of California State Securities Law; violations of the Washington State Securities Act; violations of the Washington State Consumer Protection Act; violations of California’s Business and Professions Code; claims asserted in the Class Action Complaintmisrepresentations and omissions; fraud; negligence; breach of fiduciary duty; unsuitability; breach of contract; violation of state and federal securities laws; violation of self-regulatory authority rules and regulations; vicarious liabilityfraud, deceit, misrepresentation, and omission of material fact; violation of California Insurance Code Section 10509.8; negligence; breach of fiduciary duty; failure to supervise; elder abuse; violation of California Corporations Code Section 25401Robert Micley, Individually and on behalf of his IRA, and as Trustee for the Williamstown Anesthesia MPP Plan DTD 01/01/94 FBO Carolyn Henderson, The Williamstown Anesthesia MPP Plan FBO Robert Micley, and The Williamstown Anesthesia MPP Plan FBO Donna Marucomisrepresentations and unsuitable recommendations; breach of contract and warranties; promissory estoppels; violation of state securities statutes; violation of state fraud statutes; violation of consumer protection statutes; intentional and negligent misrepresentation; unjust enrichment; breach of fiduciary duty and good faith and fair dealing; vicarious liabilitybreach of contract; breach of fiduciary duty; unsuitability; unauthorized trading; negligence and gross negligence; aggressive and excessive trading; margin lending; fraud; failure to supervise; respondeat superior; violation of FINRA Rulesbreach of fiduciary duty; breach of the implied covenant of good faith and fair dealings; misrepresentation; breach of contract; omissions of material facts; failure to properly monitor investment accounts; violation of industry rules; failure to supervise; violation of Rule 10b-5 of the Securities Exchange Commissionsecurities fraud; common law fraud; unsuitable transaction recommendations and purchase; broker negligence; breach of contract; breach of fiduciary duty; violations of FINRA Rules of Conduct; failure to superviseviolation of the Arkansas Securities Act; violation of the Tennessee Consumer Protection Act of 1977; common law fraud and constructive fraud; breach of fiduciary duty; breach of contract; negligence and breach of duty; failure to supervise; respondeat superior FBOP Capital Trust II; Regions Morgen Keegan Advantage Income Fund; Regions Morgan Keegan Select High Income Fund; Regions Morgan Keegan Select Intermediate Bond Fund; Regions Morgan Keegan Multi-Sector High income Fund; Regions Morgan Keegan High Income Fund Patrick J. ) The Arbitrator recommends the expungement of all references to the above captioned arbitration from Non-Party, Scott Pederson’s (CRD #2803918), registration records maintained by the Central Registration Depository (“CRD”); The claim, allegation, or information is factually impossible or clearly erroneous; The registered person was not involved in the alleged investment related sales practice violation, forgery, theft, misappropriation, or conversion of funds; 3.

Rohan Profit Sharing Plan U/A dated 12/15/1999failure to treat Claimants in a just and equitable manner; negligence; gross negligence; negligent misrepresentation; negligent supervision; omissions; fraud and fraudulent misrepresentation; breach of fiduciary duty; breach of contractviolation of FINRA rules; violation of state and federal securities laws, including Section 10(b) and 10b-5 of the Securities Act of 1933; breach of fiduciary duties; violation of duty of fair dealing; failure to supervise Claimant’s account; violation of the Tennessee Consumer Protection Actwrongful conduct; breach fo fiduciary duty; negligence; breach of written contract; failure to supervise and control; violation of state and federal securities laws; violation of FINRA rules of fair practice and NYSE rulesbreach of contract; suitability; negligence; breach of fiduciary duty; negligent misrepresentation; violation of California Corporations Code Sections 2540; conversion; common law fraud; constructive fraud Popular High Grade Fixed Income Fund; Eaton Vance Tax Advantage Global Dividend Income Fund; Eaton Vance Tax Managed Buy Write Income Fund; Van Kampen Senior Income Fund; Western Global High Income Fundviolation of Federal Security Law; violation of Idaho Security Law; violation of Washington Security Law; violation of the Washington Consumer Protection Act; breach of contract; common law fraud; breach of fiduciary duty; negligence; gross negligence; failure to supervisesecurities fraud; fraudulent misrepresentation; lack of supervision; lack of suitibility; breach of fiduciary duty; aiding and abetting breach of fiduciary duty; breach of contract; violation of Rules 10b-5; respondeat superior; vicarious liabilitybreach of fiduciary duty; suitability; failure to supervise; negligence; common law fraud; violation of California Corporations Code § 25401; violation of California Welfare & Institutions Code § 15600 et seq. Secrest u/a Dated 4/12/06, by Its Trustee, Valerie A. ) Other than Forum Fees which are specified below, the parties shall each bear their own costs and expenses incurred in this matter;1. Egeland is liable for and shall pay to Claimants, Wallace Larson and Shirley Larson, the sum of 2,000.00 in compensatory damages; 2. Egeland is liable for and shall pay to Claimants, Wallace Larson and Shirley Larson, interest on the above-stated sum at the rate of 2% per annum from and including October 1, 2008, through and including May 16, 2011; 3. Egeland is liable for and shall pay to Claimants, Wallace Larson and Shirley Larson, the sum of ,000.00 in attorneys’ fees pursuant to Minnesota Stat. ) Other than Forum Fees which are specified below, the parties shall each bear their own costs and expenses incurred in this matter;stnct liability for the sale of unregistered securities; material misstatements in connection with the sale/offer of securities; securities fraud; fraudulent misrepresentation; negligent misrepresentation; and respondeat superior, negligent supervision, and controlling person liability The Panel recommends the expungement of all reference to the above-captioned arbitration from Respondent James R.

) The Panel recommends the expungement of all references to the above captioned arbitration from unnamed party, Patton Teagle’s (CRD# 1251270), registration records maintained by the Central Registration Depository (“CRD”); 3.

Honoski’s (CRD#4424413) registration records maintained by the Central Registration Depository (“CRD”); The claim, allegation, or information is false.violation of New York common law, fraud, negligence, breach of contract, breach of fiduciary duty, respondeat superior, unsuitability, failure to supervise, violations of FINRA/NASD Conduct Rules 2110, 2120, 2310, 3010, and NYSE Rules 401, 405, and 342.1) violation of SEC Rule 10(b)-5; 2) violation of Colorado Securities Act C. ) Claimants’ claims, each and all, having been settled, are hereby dismissed with prejudice; 2.

Claimants settled their claims with Respondent; A majority of the Panel recommends the expungement of all reference to the above captioned arbitration from unnamed party Diane J. §§ 11-51-101 through 11-51-901; 3) violation of NASD Rule 2310, formerly Article III, Section 2 of the Rules of Fair Practice, commonly known as the suitability rule; 4) violation of FINRA Rule 2020, Use of Manipulative, Deceptive or Other Fraudulent Devices; 5) violation of Fi NRA Rule 2310- 2, Fair Dealing With Customers, including but not limited to section (e); 6) Negligence; and 7) Breach of Fiduciary Duty.1.

) Other than Forum Fees which are specified below, the parties shall each bear their own costs and expenses incunred in this matter; and Claimant’s claims, each and all, having been withdrawn are dismissed with prejudice; The Panel recommends the expungement of all references to the above captioned arbitration from Respondents, Barbara Regnitz and Muneera Dawood’s, registration records maintained by the Central Registration Depository (“CRD”); The claim, allegation, or infomiation is factually impossible or clearly enroneous; The claim, allegation, or information is false; Other than Forum Fees which are specified below, the parties shall each bear their own costs and expenses incurred in this matterbreach of fiduciary duty; suitability; negligence; misrepresentations; omissions; breach of contract; respondeat superior; violation of the RICO Act; violation of the Illinois Elder Abuse and Neglect act; and violation of state securities laws.

Hagerty Trust and the Joann Didik Hagerty Trust, EWH Investments, LLC, and JDH Investments, LLC, the sum of 5,000.00 in compensatory damages; 2.

) Respondent, Merrill Lynch, Pierce, Fenner & Smith, inc., is liable for and shall pay to Claimants, Edgar W. Hagerty, Individually and as Trustees of the Edgar W.

) Other than Forum Fees which are specified below, the parties shall each bear their own costs and expenses incurred in this matter;securities fraud; negligent supervision; respondeat superior; violation of Minnesota Statutes §§80A.68 and 80A.69; breach of fiduciary duty; negligence; common law fraud; negligent misrepresentation; and violation of Rule 2110 of the NASD conduct mies.1.

Madoff Investment Services, LLCviolation of Sections 10(b) and 20(a) of the 1934 Act [14 U. ) Claimant’s claims, each and all, are hereby denied and dismissed with prejudice; 2.

6.36% Preferred; Lehman Brothers Holdings Preferred Stock 6.50% Perpetual; Morgan Stanley Cap VIII 6.45%Breach of fiduciary duty; Breach of contract; Unsuitability; Violations of Securities Regulatory Rules; Violations of the Alabama Securities Act; Intentional and negligent misrepresentation; Omission of material facts; Breach of duty of good faith and fair dealing; Gross negligence Breach of fiduciary duty; Breach of contract; Unsuitability; Violation of Securities Regulatory Rules; Violation of the Alabama Securities Act; Intentional and negligent misrepresentation; Omission of material facts; Wrongful self-dealing actions; Breach of duty of good faith and fair dealing; Failure to properly execute duties; Gross negligence Breach of fiduciary responsibility; Egregious omission of material facts and risks; Misleading disclosure; Unsuitability; Unfair dealing and misrepresentation with regard to lottery; Failure to make full disclosure and timely, accurate notiification; Failure to supervise Misrepresentations and omissions; Violation of the Indiana Securities Act; Breach of fiduciary duty; Violation of NASD Conduct Rules; Negligence; Failure of supervision; Breach of contract; Fraudulent misrepresentation; Vicarious liabilitybreach of fiduciary duty; breach of contract; unsuitability; failure to supervise; violation of Securities Regulatory Rules; intentional and negligent misrepresentation of material facts; wrongful self-dealing actions; breach of duty of good faith and fair dealing; gross negligence; failure to properly execute dutiesnegligent misrepresentation; fraud and intentional misrepresentation and/or omissions; failure to supervise; breach of fiduciary duty; unsuitable transactions; unauthorized transactions; elder abuse; breach of contract Mont Yale Large Cap Growth Qualified Fund; the Mont Yale Small Cap Qualified Fund; Johnston Asset Management International Equity Fund; Kinetics Advisers Institutional Partners; Rye Select Broad Market Fund, a “feeder fund” for a fund managed by Bernard L. The Panel recommends the expungement of all reference to the above captioned arbitration from unnamed party Thomas Sawyer’s (CRD #3212424) records maintained by the Central Registration Depository (“CRD”); The claim, allegation, or information is factually impossible or clearly erroneous; and The claim, allegation, or information is false; The Panel recommends the expungement of all reference to the above captioned arbitration from unnamed party Perry Gralitzer’s (CRD #2654913) records maintained by the Central Registration Depository (“CRD”); The claim, allegation, or information is factually impossible or clearly erroneous; and The claim, allegation, or information is false.1.

Stein Violation of the Missouri Securities Act of 2003; Breach of fiduciary duty; Negligence; Fraudulent/negligent misrepresentation and fraudulent/negligent omission of material fact; Breach of FINRA (NASD and NYSE) Exchange Rules; Respondeat superior; Violation of Rule 10B-5Misrepresentation; Failure to disclose material information; Breach of contract; Failure to supervise; Violations of self-regulating organization rules, government agency regulations and state and federal laws Fraudulent misrepresentation; Breach of fiduciary duty; Negligence; Negligent misrepresentation; Violation of Tennessee Statutes; Violation of Chapter 517, Florida Statutes; Respondeat superior; Negligent supervision Violations of the Virginia Securities Act, Federal securities fraud and common law fraud and constructive fraud; Breach of fiduciary duty; Unsuitability under Virginia law, federal law, and FINRA Conduct Rules; Negligence and negligent supervision; Breach of contract; Respondeat superior/control person liability Fraud, concealment, and conspiracy to commit fraud; Breach of fiduciary duty; Breach of contract; Aiding and abetting fraud and breach of fiduciary duty; Violation of California Securities Act; Violation of NASD and NYSE Rules; Conversion Various securities including, but not limited to: USB Capital X 6.50%; Merrill Lynch & Co. ARN NDX; Federal National Mortgage Assn.; Freddie Mac New Money Ser T 6.42% Preferred; HSDC Financial Corp. Respondents FTC Capital, FTC Emerging, FTC Holdings, and Clamens are jointly and severalty liable for and shall pay to Claimant CITGO ,725,883.00 plus postjudgment interest at the New York rate of 9% per annum from the date of this Award until this Award is paid in full. Respondents FTC Capital, FTC Emerging, FTC Holdings, and Clamens are jointly and severally liable for and shall pay to Claimant PDV 7,503.72 plus postjudgment interest at the New York rate of 9% per annum from the date of this Award until this Award is paid in full.violations of Section 10(b) of the Securities Exchange Act and Rule 10b-5, violation of Section 20(a) of the Securities Exchange Act, respondeat superior, failure to supervise, fraud, conversion, breach of fiduciary duty, negligence, unauthorized trading, failure to execute, failure to follow instructions, promissory estoppel, misrepresentations and omissions, and unjust enrichment.interest; reasonable costs and expenses of this arbitration and related litigation, including filing fees, counsel fees, and expert fees, a declaration that respondents have unjustiy enriched themselves and imposing a constructive trust to recoup the unjust benefits and other assets for the benefit of Claimants, other costs and expenses, and such other and further relief as the Panel may deem just and proper.