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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shall each bear their own costs and expenses incunred in this matter; and Claimant’s claims, each and all, having been withdrawn are dismissed with prejudice; The Panel recommends the expungement of all references to the above captioned arbitration from Respondents, Barbara Regnitz and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. ) 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. 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. Morgan Securities, Inc.; Bear Stearns Asset Management, Inc.; The Bear Stearns Companies, Inc.; Ralph R. Pitsch-Reynoldswrongful conduct; breach of fiduciary duty; breach of written contract; fraud by misrepresentation and omission; financial abuse; failure to supervise and control; violation of state and federal securities laws; violation of FINRA rules of Fair Practice; violation of NYSE rulesbreach of fiduciary duty; breach of written contract; constructive fraud; acts and omissions in violation of FINRA, NASD, and NYSE Rules; suitability; failure to supervise and secondary liability; respondeat superior0,000 compensatory; lost opportunity costs; fees, commissions, or other remuneration paid; cost of proceedings; punitive damages; interest; attorneys’ fees and costs; rescission; other equitable reliefrecommendation of unsuitable transactions; failure to disclose material facts; reckless and negligent advice; breach of fiduciary duties; violation of state and federal securities laws; violation of the Tennessee Consumer Protection Act; violation of the common law of Tennessee.unsuitability; common law fraud; churning; negligence and recklessness; breach of fiduciary duty; breach of contract; respondeat superior; failure to supervise; violation of the South Carolina Securities Actactual damages but not less than 0,000; return of all commissions, fees and margin interest paid; punitive damages in an amount not less than 0,000; costs; rescission; attorneys’ fees; interest; forum fees; other equitable relief Lehman Brothers, Inc.; Barclays Capital, Inc.; Ralph C. Lee; Scott Taylor Sheffer; Third Party Respondents: Frank Leroy Couison, III; James Boothby; Jennifer M. Lehman – Sarah Loomis Cave, Esq.; Wileczek – William Tobolsky, Esq.; Kay – Paula D. Any and all claims for relief not specifically addressed herein, including Claimants’ requests for punitive damages and attorneys’ fees and costs pursuant to S. ) Claimant’s claims, each and all, having been settled are dismissed with prejudice; 2. Pitsch Reynolds, Individually and as Trustee of the Reynolds Living Trust U/A 6/14/03 and as Trustee of the 403-Bplan FBO Susan H. C law, federal law, and FINRA Conduct Rules; negligence; breach of contract; control person liability; negligent supervision.fraud; intentional misrepresentation; violation of FINRA Conduct Rules 20; violation of Cal. Code §§ 25400; Section 10(b) and Rule 10b-5 promulgated thereunder of the 1934 Act; negligence and negligent misrepresentation; breach of fiduciary duty; failure to supervise in violation of FINRA Rule 3010; elder abuseunsuitable investment; unauthorized transactions; negligent account management; misrepresentations and omissions; violations of the Indiana Securities Act and Regulations thereunder; violations of FINRA/NASD Conduct Rules; breach of contract; breach of fiduciary duty/constructive fraud; respondeat superior; negligence and negligent supervision; conversion Vanguard Total Stock Maricet ETF and mutual funds including Threadneedle International Opportunity Fund, RVS Diversified Equity Fund, RVS Disciplined Equity Fund, and RVS Dividend Opportunity Fund, unspecified equities and in cash-equivalentunsuitability; breach of fiduciary duty; fraudulent misrepresentation; failure to supervise; respondeat superior; negligent misrepresentation; unauthorized trading; negligence; fraud; violations of Florida Statute Chapter 517; churning; violations of SEC Rule 15(g); control person liabilitybreach of contract; unauthorized trading; unsuitability; churning; fraud; misrepresentations and omissions; breach of fiduciary duty obligations; negligence; negligent misrepresentations; failure to supervisenegligence; suitability violations; Arizona Securities Act violations; breach of fiduciary duty; breach of contract and breach of the implied duty of good faith and fair dealing; negligent misrepresentation; respondeat superior and negligent supervisionbreach of fiduciary duty against all Respondents; breach of contract against Respondent Schwab; misrepresentations against all Respondents; negligent misrepresentations against all Respondents; respondeat superior against Respondent Schwab; violation of section 11 of the 1933 Act against Respondent Schwab Breach of fiduciary duty; Unsuitable recommendations and trading; Breach of contract and breach of warranty; Excessive trading and churning; Fraud; Deceit and misrepresentation; Negligence and gross negligence; Failure to supervise Rescissionary damages; Out-of-pocket losses; Punitive damages; Disgorgement of compensation; Forum fees and administrative fees; Costs; Expert witness fees and other witness fees; Attorney’s’ fees; Other equitable relief Settled with The Investment Center and Securities America; PGP Financial and Cali are jointly and severally liable; Granite Securities, Obsidian Financial and Cali are jointly and severally liable; Cali’s request for expungement is denied; Punitive damages are denied Violation of California Corporations Code § 25401; Intentional breach of fiduciary duty; Negligent breach of fiduciary duty; Intentional breach of fiduciary duty (supervision); Negligent breach of fiduciary duty (supervision)Breach of fiduciary duty; Material misrepresentations; Omissions; Fair dealing; Negligent misrepresentation; Gross negligence; Common law fraud; Respondeat superior; Violation of federal securities laws; Violation of Texas Securities Act Violation fo the 1934 Act Anti-Fraud rules; Violation of sections 12 and 17 of the Securities Act of 1933; Violations of Michigan Blue Sky law; Fraudulent misrepresentation; Negligent misrepresentation and silent fraud; Breach of common law fiduciary duty Breach of fiduciary duty; Aiding and abetting breach of fiduciary duty; Negligence; Negligent supervision against E*Trade, LLC; Negligent misrepresentation; Breach of conract; Breach of implied covenant fo good faith and fair dealing; Violation of section 12(a)(2) fo the Securities Act; Violation of Massachusetts Uniform Securities Act; Respondeat superior; Common law fraud; Violation of the Massachusetts Consumer Protection Act7,717 – 4,890 (compensatory damages for Claimant Knicley); 9,048 – 2,698 (compensatory damages for Claimant Krause); 1,477 – 6,236 (compensatory damages for Claimant Leo); 9,130 – 4,747 (compensatory damages for Mielnicki)Violation of FINRA Rules of Fair Practice; Violation of Section 20 of the Securities Exchange Act; Violation of Section 10 of the Securities Exchange Act; Violation of regulation prohibiting manipulative and deceptive devices; Violation of regulation requiring disclosure of credit terms in margin transactions; Violation of the Alaska Securities Act; Breach of fiduciary duty; Proffessional negligence; Negligent and/or intentional misrepresentation Robyn Reagan-O’Hara; Paula Branum; Penson Worldwide, Inc.; Penson Financial Services, Inc.; SAMCO Financial Services, Inc.; SAMCO Capital Markets, Inc.; Regal Securities, Inc.; Colby & White, LP; WFG Investments, Inc.; Willard Henry White, Jr.; James Milton Townsend Unsuitability; Misrepresentation; Fraud; Unauthorized trading; Failure to supervise; Churning; Negligence; Forgery; Breach of fiduciary duty; Breach of contract; Violations of FINRA and Securities and Exchange Commission Rules Recommendation and purchase of five mutual fund products including: Fidelity High Income Advantage A; Franklin Income A; Loomis Sayles Strategic Income A; Oppenheimer International Bond A; Pimco Total Return DBreach of fiduciary duty; Lack of suitability; Intentional misrepresentation; Failure to supervise; Breach of contract; Negligence; Omission of facts; Fraud; Violation of Pennsylvania consumer protection laws; Violation of the Pennsylvania Securities Act Breach of contract; Common law fraud and misrepresentation; Statutory fraud and misrepresentation; Unsuitability; Overconcentration in financial preferred shares; Improper switching of mutual funds in order to earn fees Fraud; Intentional misrepresentation/omission; Negligent misrepresentaiton/omission; Breach of fiduciary duty; Violation of Massachusetts Securities Act; Violation of Massachusetts Deceptive Trade Practices Act, Violation of Section 10(b) of the Federal Securities Act of 1934; Unjust enrichment; Civil conspiracy; Negligence; Negligent supervision; Respondeat superior Violations of Federal Securities Laws; Violations of California Securities Laws; Violation of California’s Financial Elder Abuse Law; California Unfair, Unlawful, and Fradulent Business Practices; Breach of contract; Common law fraud; Breach of fiduciary duty; Negligence and Gross negligence Investment in various funds, including but not limited to: Evergreen Asset Allocation Fund; Eaton Vance Limited Duration Fund; Nuveen Equity Premium and Growth Fund; a 1035 exchange of a Metlife variable annuity for a Merrill Lynch Investor Choice annuity; Advent Claymore Global Securities and Income Fund DAIC is liable; AIC and Frey are jointly and severally liable; Claimaint’s claims against Respondents Dunham Trust and Capizzi are dismissed with prejudice; Recommended expungement for Respondent Capizzi Violation of section 17(a)(1) of the Securities Exchange Act of 1934; SEC Rule 17a-4; FINRA conduct rules 33; Violation of section 10(b) fo the Securities Exchange Act of 1934 and Rule 10b-5; Aiding and abetting violations of section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5; Breach of fiduciary duty; Fraudulent misrepresentation; Violations of Michigan Blue Sky Laws; Conversion; Unjust enrichment; Negligence; Breach of contract Negligence; Breach of fiduciary duty; Breach of contract; Fraud and deceit under California Civil Code §§ 1572, 1709, and 1710 and California Law; Violations of California Corporations Code §§ 1541Breach of fiduciary duty; Breach of contract; Unsuitability; Failure to supervise; Violations of securities regulatory rules; Violations fo the Louisiana Securities Act; Violations fo the Louisiana Unfair Trade Practices Act; Common law claims Richard R. Respondent’s request for expungement of the CRD record of non-party Soby is denied. 2009), are denied.failure to execute instructions; breach of contract; breach of fiduciary duty; negligence; gross negligence; recklessness,; willful and wanton misconduct; violation of SRO rules; negligent misrepresentation; failure to supervise; fraud; constructive fraud and fraudulent concealment; breach of contract accompanied by fraudulent intent; state securities fraud.1.

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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.

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.

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