Dbsi liquidating trust

Posted by / 23-Sep-2017 17:44

d/b/a JHS Capital Advisors, Inc.; Point Capital, Inc. Code § 6-5-101, et seq.; misstatements and omissions to state material facts under Ala. Breach of fiduciary duty; Violation of FINRA and NYSE rules; Overconcentration; Misrepresentation; Omissions; Constructive fraud; Breach of contract; Common law fraud; Negligence; Negligent supervision; Violation of federal securities law; Violation of Louisiana Securities Act; Violation of the Tennessee Consumer Protection Act of 1977; Suitability Misrepresentations and Omissions; Breach of fiduciary duty; Unsuitable investments; Negligence; Failure of supervision; Breach of contract; Vicarious liability; Violation of FINRA rules; Violation of the Securities and Exchange Act Breach of written contract; Breach of fiduciary duty; Failure to supervise; Negligence and gross negligence; Misrepresentations and omissions; Fraud and constructive fraud; Violation of NYSE, NASD and/or FINRA Rules Breach of fiduciary duty; Fraud; Misrepresentation; Unsuitability; Negligent supervision; Violation of the Florida Securities and Investor Protection Act; Violation of the Securities Exchange Act of 1933 and the Securities Act 1934; Violation of FINRA rules and state and federal law Violations of the Florida Securities and Investor Protection Act; Violations of the Securities Act of 1934; Violations of the Securities Exchange Act of 1933; Violations of FINRA rules and state and federal law; Fraud; Breach of fiduciary duty; Misrepresentation; Unsuitability; Negligent supervision Breach of fiduciary duty; Fraud; Misrepresentation; Unsuitability; Negligent supervision; Violation of the Florida Securities and Investor Protection Act; Violation of the Securities Exchange Act of 1933 and the Securities Act 1934; Violation of FINRA rules and state and federal law Violations of the Florida Securities and Investor Protection Act; Violations of the Securities Act of 1934; Violations of the Securities Exchange Act of 1933; Violations of FINRA rules and state and federal law; Fraud; Breach of fiduciary duty; Misrepresentation; Unsuitability; Negligent supervision Breach of fiduciary duty; Fraud; Misrepresentation; Unsuitability; Negligent supervision; Violation of the Florida Securities and Investor Protection Act; Violation of the Securities Exchange Act of 1933 and the Securities Act 1934; Violation of FINRA rules and state and federal law Violation of Section 10(b) of the Securities Exchange Commission, Rules of the NYSE and of FINRA, andthe securities laws of Puerto Rico; Securities fraud; Churning; Unauthorized transactions; Unsuitabillty; Violation of Article 1802 of the Civil Code of Puerto Rico 31 Laws of Puerto Rico Annotated §5141; Failure to supervise; Violation of the duties of good faith and fair dealing; Breach of contract; Violations of ERISAUnsuitability and the absence of an underlying investment purpose; Material misrepresentations and omissions; Unauthorized trading and failure to follow instructions; Breach of fiduciary duty and breach of contract; Negligent supervision Violations of th Securities Exchange Act of 1934 and Rule 10b-5 under the Exchange Act; Common law fraud; Breach of contractual and legal duties; Negligence, gross negligence, and negligent supervision Violation of various sections and rules of the Securities Exchange Act of 1934; Violation of securities laws of the Commonwealth of Pennsylvania; Respondeat superior; Fraud; Negligence; Breach of fiduciary duty Negligence; Breach of fiduciary duty; Breach of contract; Negligent misrepresentation; Fraud and deceit (California Civil Code §§ 1572, 17); Business & Professional Code sec. Estesbreach of fiduciary duty; breach of contract; unsuitability; failure to supervise; violations of the Alabama Securities Act; violations of securities regulatory rules; intentional and negligent misrepresentation Allianz Global Investors Capital LLC; Allianz Global Investors Distributors LLC; Allianz Global Investors Fund Management LLC; Bank of Montreal; E*Trade Securities LLC; Harris Investor Services, Inc.; ING Investments LLC; ING Investments Distributors LLC, aka ING Fund Distributor LLC; ING Prime Rate Trust; PIMCO Investments LLCPIMCO Hight Income Fund Preferred; ING Prime Rate Trust Auction Rate Preferred Series M; PIMCO Corporate Opportunity Fund Auction Rate Preferred; PIMCO Corporate Income Fund Auction Rate Preferred; Nicholas -Applegate n/k/a Allianz; ING Prime Rate Trust Auction Rate Preferred; ING Prime Rate Trust Auction Rate Preferredmisrepresentation and omissions; violation of the Tennessee Securities Act; breach of fiduciary duty; violation of FINRA/NASD conduct rules; negligence; failure of supervision; breach of contract; fraudulent misrepresentation; respondeat superiorbreach of fiduciary duty; failure to supervise; vicarious liability for the alleged wrongful acts of Respondent’s employees and agents under the doctrine of respondeat superior; unspecified breach of duties imposed by applicable industry rules, regulations and practicesbreach of fiduciary duty; breach of contract; unsuitability; misrepresentation; omission of facts; negligence; failure to supervise; violations of Alabama Securities Act; violations of Securities Regulatory Rulesmisrepresentations and omissions; violation of the New Mexico State Securities Laws; breach of fiduciary duty; violation of FINRA/NASD Conduct Rules; negligence; failure of supervision; breach of contract; fraudulent misrepresentation; respondeat superior Breach of fiduciary duties; professional negligence; suitability violations; breach of contract and breach of duty of good faith and fair dealing; failure to supervise; respondeat superior and vicarious liability; deceptive and unconscionable trade practices Gunn Allen Financial, Inc.; GAH Holdings, LLC; Gunn Allen Holding, Inc.; Hyde Park Equity Investments, LLC; Wright Asset Management Group, Inc.; JHS Capital Holdings, Inc. Violation of the Texas Securities Act; violation of the Texas Deceptive Trade Practices-Consumer Protection Act; violations of Section 2110 Conduct Rules of the NASD; violation of Section 2120 Conduct Rules of the NASD; violations of Section 2310 Conduct Rules of the NASD; violation of Section 3010 Conduct Rules of the NASD; breach of fiduciary duty; negligence and negligent supervision; common law fraud and misrepresentation; respondeat superiornegligent misrepresentation; unsuitability; professional negligence; breach of fiduciary duty; common law fraud and deceit; violation of FINRA Rules of Fair Practice including Rule 2310, Rule 2210, Rule 2120, and Rule 3010; violation of California Civil Code §3372 Negligence and unsuitability under the FINRA rules, the Alabama Securities Act and fiduciary principles; failure to supervise; fraud under Ala. Kubach State of Michigan securities fraud; breach of contract; breach of fiduciary duty; fraud and silent fraud; negligent misrepresentation; negligence; and violation of FINRA and industry rules of fair practice Failure of Respondents to invest according to Claimant’s instructions; Respondents knowingly deceived Claimant; Claimant was shuffled from broker to broker receiving no help [deemed by the Arbitrator to be an allegation of negligent supervision]; Respondents’ investments in preferred stock in Claimant’s account were inappropriate for Claimant Russell D. Labuda; 0,000.00 compensatory plus interest in the amount of 1,000.00 to Sherry A. Berestka, Jr.- ,688.2 (compensatory)

d/b/a JHS Capital Advisors, Inc.; Point Capital, Inc. Code § 6-5-101, et seq.; misstatements and omissions to state material facts under Ala. Breach of fiduciary duty; Violation of FINRA and NYSE rules; Overconcentration; Misrepresentation; Omissions; Constructive fraud; Breach of contract; Common law fraud; Negligence; Negligent supervision; Violation of federal securities law; Violation of Louisiana Securities Act; Violation of the Tennessee Consumer Protection Act of 1977; Suitability Misrepresentations and Omissions; Breach of fiduciary duty; Unsuitable investments; Negligence; Failure of supervision; Breach of contract; Vicarious liability; Violation of FINRA rules; Violation of the Securities and Exchange Act Breach of written contract; Breach of fiduciary duty; Failure to supervise; Negligence and gross negligence; Misrepresentations and omissions; Fraud and constructive fraud; Violation of NYSE, NASD and/or FINRA Rules Breach of fiduciary duty; Fraud; Misrepresentation; Unsuitability; Negligent supervision; Violation of the Florida Securities and Investor Protection Act; Violation of the Securities Exchange Act of 1933 and the Securities Act 1934; Violation of FINRA rules and state and federal law Violations of the Florida Securities and Investor Protection Act; Violations of the Securities Act of 1934; Violations of the Securities Exchange Act of 1933; Violations of FINRA rules and state and federal law; Fraud; Breach of fiduciary duty; Misrepresentation; Unsuitability; Negligent supervision Breach of fiduciary duty; Fraud; Misrepresentation; Unsuitability; Negligent supervision; Violation of the Florida Securities and Investor Protection Act; Violation of the Securities Exchange Act of 1933 and the Securities Act 1934; Violation of FINRA rules and state and federal law Violations of the Florida Securities and Investor Protection Act; Violations of the Securities Act of 1934; Violations of the Securities Exchange Act of 1933; Violations of FINRA rules and state and federal law; Fraud; Breach of fiduciary duty; Misrepresentation; Unsuitability; Negligent supervision Breach of fiduciary duty; Fraud; Misrepresentation; Unsuitability; Negligent supervision; Violation of the Florida Securities and Investor Protection Act; Violation of the Securities Exchange Act of 1933 and the Securities Act 1934; Violation of FINRA rules and state and federal law Violation of Section 10(b) of the Securities Exchange Commission, Rules of the NYSE and of FINRA, andthe securities laws of Puerto Rico; Securities fraud; Churning; Unauthorized transactions; Unsuitabillty; Violation of Article 1802 of the Civil Code of Puerto Rico 31 Laws of Puerto Rico Annotated §5141; Failure to supervise; Violation of the duties of good faith and fair dealing; Breach of contract; Violations of ERISAUnsuitability and the absence of an underlying investment purpose; Material misrepresentations and omissions; Unauthorized trading and failure to follow instructions; Breach of fiduciary duty and breach of contract; Negligent supervision Violations of th Securities Exchange Act of 1934 and Rule 10b-5 under the Exchange Act; Common law fraud; Breach of contractual and legal duties; Negligence, gross negligence, and negligent supervision Violation of various sections and rules of the Securities Exchange Act of 1934; Violation of securities laws of the Commonwealth of Pennsylvania; Respondeat superior; Fraud; Negligence; Breach of fiduciary duty Negligence; Breach of fiduciary duty; Breach of contract; Negligent misrepresentation; Fraud and deceit (California Civil Code §§ 1572, 17); Business & Professional Code sec. Estesbreach of fiduciary duty; breach of contract; unsuitability; failure to supervise; violations of the Alabama Securities Act; violations of securities regulatory rules; intentional and negligent misrepresentation Allianz Global Investors Capital LLC; Allianz Global Investors Distributors LLC; Allianz Global Investors Fund Management LLC; Bank of Montreal; E*Trade Securities LLC; Harris Investor Services, Inc.; ING Investments LLC; ING Investments Distributors LLC, aka ING Fund Distributor LLC; ING Prime Rate Trust; PIMCO Investments LLCPIMCO Hight Income Fund Preferred; ING Prime Rate Trust Auction Rate Preferred Series M; PIMCO Corporate Opportunity Fund Auction Rate Preferred; PIMCO Corporate Income Fund Auction Rate Preferred; Nicholas -Applegate n/k/a Allianz; ING Prime Rate Trust Auction Rate Preferred; ING Prime Rate Trust Auction Rate Preferredmisrepresentation and omissions; violation of the Tennessee Securities Act; breach of fiduciary duty; violation of FINRA/NASD conduct rules; negligence; failure of supervision; breach of contract; fraudulent misrepresentation; respondeat superiorbreach of fiduciary duty; failure to supervise; vicarious liability for the alleged wrongful acts of Respondent’s employees and agents under the doctrine of respondeat superior; unspecified breach of duties imposed by applicable industry rules, regulations and practicesbreach of fiduciary duty; breach of contract; unsuitability; misrepresentation; omission of facts; negligence; failure to supervise; violations of Alabama Securities Act; violations of Securities Regulatory Rulesmisrepresentations and omissions; violation of the New Mexico State Securities Laws; breach of fiduciary duty; violation of FINRA/NASD Conduct Rules; negligence; failure of supervision; breach of contract; fraudulent misrepresentation; respondeat superior Breach of fiduciary duties; professional negligence; suitability violations; breach of contract and breach of duty of good faith and fair dealing; failure to supervise; respondeat superior and vicarious liability; deceptive and unconscionable trade practices Gunn Allen Financial, Inc.; GAH Holdings, LLC; Gunn Allen Holding, Inc.; Hyde Park Equity Investments, LLC; Wright Asset Management Group, Inc.; JHS Capital Holdings, Inc. Violation of the Texas Securities Act; violation of the Texas Deceptive Trade Practices-Consumer Protection Act; violations of Section 2110 Conduct Rules of the NASD; violation of Section 2120 Conduct Rules of the NASD; violations of Section 2310 Conduct Rules of the NASD; violation of Section 3010 Conduct Rules of the NASD; breach of fiduciary duty; negligence and negligent supervision; common law fraud and misrepresentation; respondeat superiornegligent misrepresentation; unsuitability; professional negligence; breach of fiduciary duty; common law fraud and deceit; violation of FINRA Rules of Fair Practice including Rule 2310, Rule 2210, Rule 2120, and Rule 3010; violation of California Civil Code §3372 Negligence and unsuitability under the FINRA rules, the Alabama Securities Act and fiduciary principles; failure to supervise; fraud under Ala. Kubach State of Michigan securities fraud; breach of contract; breach of fiduciary duty; fraud and silent fraud; negligent misrepresentation; negligence; and violation of FINRA and industry rules of fair practice Failure of Respondents to invest according to Claimant’s instructions; Respondents knowingly deceived Claimant; Claimant was shuffled from broker to broker receiving no help [deemed by the Arbitrator to be an allegation of negligent supervision]; Respondents’ investments in preferred stock in Claimant’s account were inappropriate for Claimant Russell D. Labuda; $270,000.00 compensatory plus interest in the amount of $211,000.00 to Sherry A. Berestka, Jr.- $3,688.2 (compensatory) $1,311.79 (punitive); Barbara Burkhardt – $4,656.90 (compensatory) $343.10 (punitive); Craig Carlson – $25,841.00 (compensatory) $4,000.00 (punitive); Laura Cohen – $235.00 (compensatory) $765.00 (punitive); Margaux Loretz – $4,815.77 (compensatory) $180.00 (punitive); Michael Loretz – $4,885.18 (compensatory) $100.00 (punitive); Monique Stevenson – $425.00 (compensatory) $500.00 (punitive)Misrepresentation; Misleading statements and failure to disclose material facts; Breach of contract; Fraud in the inducement; Common law fraud; Violations of the anti-fraud provisions of the Wisconsin Uniform Securities Law Breach of fiduciary duty; Breach of contract; Unsuitability; Failure to supervise; Violations of Securities Regulatory Rules; Violations of the Alabama Securities Act and the Alabama Deceptive Trade Practices Act; Intentional and negligent misrepresentation of material facts; Unjust enrichment; Breach of duty of good faith and fair dealing; Gross negligence; Failure to properly execute duties Account stated; Conversion/aiding and abetting conversion; Civil theft; Breach of fiduciary duty/aiding and abetting; Fraud/aiding and abetting; Breach of contract; Failure to supervise/negligent retention and supervision; Negligence/negligent misrepresentation; Conspiracy; Selling away violations; Apparent agency/respondeat superior; Unjust enrichment/quantum meruit Fraud; Aiding and abetting fraud; Uniform Securities Act fraud; Negligent misrepresentation; Aiding and abetting breach of fiduciary duty; Conversion; Civil conspiracy; Aiding and abetting fradulent conveyance; Quantum meruit FT Unit 1202 SR LN Closed End Port-Ser 6; ING Global Real Estate Fund; Proshares Ultra S&P 500; Proshares Ultra QQQ; Proshares Ultra Dow 30; ING Greater China Fund; and ING International Real Estate Fund. Smith; Robert Tweed; Debra Harrawood White H Thomas Fehn, Esq.; Orly Davidi, Esq.; Thomas R. Smith); Pro se (Debra Harrawood White)Fraudulent misrepresentation; Fraudulent concealment and omission; Negligent misrepresentation; Negligent concealment and omission; Breach of fiduciary duty; Unsuitability; Failure to supervise; Breach of implied covenant of good faith and fair dealing; Elder abuse under California Law; Violations of state and federal securities laws; Violations of FINRA, NASD and NYSE rules Breach of contract and warranties; Promissory estoppel; Consumer protection and deceptive trade practices; The Federal Securities Exchange Act; State securities statutes; Section 27.01 of Texas Business and Commerce Code; Claims under common law; Vicarious liability. Failure to supervise; Negligence; Fraud; Violations of federal and Minnesota state securities statutes; Sale of unregistered securities; Negligent supervision; Sale of securities by unregistered persons. All commissions and fees earned by Respondents; Interest on those lossess and commissions’fees at the legal rate of 10% per annum from December 15, 2006 through date of payment ; Such other damages as Panel deems appropriate, including punitive damages; All costs associated with arbitration proceeding Fraud; Negligent misrepresentations; Violations of Section 10(b) and 10b-5 of the Securities Exchange Act of 1934; Breach of fiduciary duty; Breach of the covenants of good faith and fair dealing; Negligent supervision; Respondeat superior Fraud; Negligent misrepresentation; Breach of fiduciary duty; Breach of the covenants of good faith and fair dealing; Breach of contractual requirements; Negligent supervision; Breach of conduct; Violations of Section 20 of the 1934 Securities Exchange Act; Respondeat superior; Failure to detect and stop Claimant’s unsuitable and reckless trading Misrepresentation and omissions; Violations of the Georgia Securities Act of 1973; Breach of fiduciary duty; Violation of NASD/FINRA conduct rules; Negligence; Breach of contract; Fradulent misrepresentation; Vicarious liability Unsuitablility; Misrepresentation; Failure to supervise; Violations of FINRA Breakpoint, Know Your Client, and Fair Dealing with Customers Rules; Breach of fiduciary duties; Material omissions; Failure to disclose risks$70,154.00 with interest at 6% annum from and including June 19, 2008 (compensatory); $2,000 (costs); $225.00 (Reimbursement for non-refundable portion of FINRA filing fee); $35,000.00 (Attorneys’ fees)Breach of fiduciary duty; Breach of contract; Negligence; Negligent misrepresentation; Violation of the Securities Act of 1933; Violation of the Texas Securities Act Section 33(A)(2); Violation of the Texas Securities Act Section 33(F)(1)John F. Berlind; Thomas Henry Cruikshank; Marsha Johnson Evans; Richard Severin Fuld, Jr.; Chrisopher Gent; Roland A. 15-1-1) Claimant alleged that in May 2008, througgh Respondent Kreps, Respondent Merrill Lynch froze Claimant’s account and failed to notify Claimant either with intent, indifference or by mistake; Claimant also alleged that in May 2008 he told Respondent Johnson to sell the stock in his account, but such a sale was never executed Breach of fiduciary duty; Breach of contract; Fraud in the inducement; Common law fraud pursuant to Virginia and California law; Violation of federal securities laws, FINRA rules and the Uniform Prudent Investors Act Prejudgment interest at the California statutory interest rate of 7% ($6,268.19) or the Virginia statutory rate of 6% ($5,372.73); $425 (Reimbursement of FINRA filing fee); Reimbursement of all FINRA hearing session fees; $831.56 (Copy and research costs); $640.00 (Expert witness fees); $14,300.00 (Attorneys’ fees); Any othe relief as the Arbitrator may find appropriate under the circumstances Misrepresentations and omissions; Breach of fiduciary duty; Unsuitable investments; Violations of Section 11 and 12 of the Securities Act; Breach of the Securities Act of 1934; Breach of the Tennessee Securities Act; Fraud; Negligence; Failure of supervision; Breach of contract; Vicarious liability; Violation of FINRA rules Failure to treat Claimant in a just and equitable manner; Common law fraud; Fraudulent misrepresentation; Negligence; Gross negligence; Breach of fiduciary duty; Failure to supervise; Breach of contract Pre-award and post-award interest at 9% or other rate set by the Panel; Attorneys’ fees, expenses and other costs to Claimants as provided by contract, statutes, FINRA rules, equity, or any other ground recognized by the Panel; Monetary amount necessary to compensate Claimants for the additional income taxes they owe on any award; All hearing and filings fees; Such other relief as the Panel deems just and proper Breach of written contract; Breach of fiduciary duty; Failure to supervise; Negligence and gross negligence; Fraud and constructive fraud; Violation of NYSE, NASD, and/or FINRA Rules; Violation of the state and federal securities laws Leonard Zisman, individually and as Personal Representative of the Estate of Sylvia Zisman and as beneficiary of the Sylvia Zisman Revocable Living Trust dtd 09/13/02 and the Sylvia Zisman Recovable Living Trust No. Larry Ivan Behrends; Capstone Financial Group, Inc.; Capwest Securities, Inc.; Ronald Lee Ellis; Amy Grindstaff; Dale Keith Hall; Kathleen Louise Heshelow; Lawrence William Lambert; Michelle Rebecca Langer; MAM Securities, LLC; Jeffrey Jon Pridey; David L. Rosen, Esq.; Pro se (Larry Ivan Behrends); Pro se (David L. Slomak Trust only]$1,892,900.00 (compensatory damages); Other damages; Unspecified amount of punitive damages; Damages pursuant to Cal. Code Section 25401; Damages pursuant to Ohio revised Code Section 1707.43; Rescission; Disgorgement of Respondent’s compensation; Rescission of RMK Funds transactions; Interest at legal rate; Reasonable attorneys’ fees; Costs; Expert fees; Witnesses fees; Administrative expenses; Any other and further relief deemed just and equitable by the Panel; Dismissal of this action; All FINRA assessments and costs be borne by Claimants; Preparation costs; Travel expenses; Attorneys’ fees; Expert witness fees; Other, further and general relief to which may be entitled. Anslie Violations of Florida Securities and Investor Protection Act, the Securities Act of 1934, the Securities Exchange Act of 1933, FINRA Rules, and states and federal laws; Fraud; Misrepresentation; Unsuitability; Negligent supervision$75,000 plus interest at Florida legal rate form January 15, 2009 until date of repayment for violation of Florida Statutes Section 517.301; Attorneys fees, the amount which shall be determined by a court of competent jurisdiction Negligence; Breach of contract; Breach of fiduciary duty; Suitability; Violation of NASD/FINRA Conduct Rule 2210; Violation of Section 12(a)(2) of the Securities Act of 1933; Violation of Section 509(b) of the Uniform Securities Act; Violation of Section 25401 of the California Corporations Code; Violation of the California Business and Professions Code 17500Unsuitability; Breach of fiduciary duty; Negligence and gross negligence; Breach of contract; Failure to supervise (negligent supervision); Violation of Section 61 of the Utah Uniform Securities Act; Respondeat superior; Failure to treat Claimant in a just and equitable manner; Fraudulent misrepresentation and omission$22,565.21 (compensatory); $22,000.00 (punitive); $14,840.00 (attorneys’ fees); $2,017.00 (costs); Interest of any unpaid balances remaining as of December 1, 2012 from the aforementioned amounts awarded in compensatory and punitive damages at the rate of 10% compounded annually pursuant to Utah state law (Utah Code Ann. Erkesbreach of fiduciary duty; breach of contract; unsuitability; violations of securities regulatory rules; violations of the Alabama Securities Act; fraudulent suppression; negligence; omissions; intentional and negligent misrepresentation of material facts; breach of the duty of good faith and fair dealingmisrepresentations and omissions; breach of fiduciary duty; unsuitable investments; negligence; failure of supervision; breach of contract; vicarious liability; violation of Fi NRA rules; violation of Tennessee statutesviolations of state securities laws; violation of the Illinois Elder Abuse and Neglect Act; violation of Illinois Deceptive Trade Practices Act 815 ILCS 510/1 et seq.; violations of FINRA conduct rules; breach of contract; common law fraud and misrepresentation; breach of fiduciary duty and constructive fraud; negligence; negligent supervision Swift Transportation Co., Inc.; Symantec Corporation; Tempur Pedic International; Elan Corporation; Global Industries Ltd.; Lexar Media, Inc.; Dynamic Materials Corporation; MGP Ingredients, Inc.; Petrohawk Energy Corporation; Chesapeake Energy Corporationbreach of fiduciary duty; breach of contract; negligence; gross negligence; failure to supervise; breach of the anti-fraud provisions of the securities laws of Connecticut, C. Section 49:3-71; breach of Section 10b of the Securities Exchange Act of 1934, 15 U. Brown ultimately receives or is due to receive from the estate related to these shares; the $97,126.65 Mr. Brown’s estate per the Order of the Probate Court, less any amounts Mr. Mandel Irrevocable Trust 9/28/81 and Marsha Zimmerman Irrevocable Trust 9/28/81; Sharon Rosen and Jay H. S.; violation of Colorado Seccurities Act, sections 11-51-501(1)(b), C. Lane; Geneva OSWX I, LLC; Geneva OSWX IX, LLC; Geneva OSWX XIX, LLC; Geneva OSWX XXVII, LLC; Jack Hoopes; Lorna Hoopes; Janet Furman Bowman Trust; Patrick Jordan; Karen Lane; Patrick J. Brown ultimately receives from the estate related to these dividends; the value of the 1,600 shares of PTR stock as of the date of the filing of the Statement of Claim, less any amounts Mr. Chapman, in his capacity as trustee of the Sharon J. Fraud; Negligence; Misrepresentation; Unsuitability; Breach of fiduciary duty; Breach of the covenants of good faith and fair dealing; Failure to supervise; Violations of the 1934 Act and FINRA rules; Respondeat superior Breach of fiduciary duty; Breach of written contract; Fraud by misrepresentation and omission; Failure to supervise and control; Violation of federal and state securities laws, statutory and common law and NASD Rules of fair practice and NYSE Rules Excessive trading/churning; Violation of Rule 10b-5; Common law fraud; Ordinary negligence; Gross negligence; Breach of contract; Negligent retention and/or negligent hiring; Control person liability; Respondeat superior Disgorgement of ill-gotten gains ($985,316.31); Loss of opportunity damages (not less than $250,000.00); Legal rate of interest on principal monies invested; Costs; Attorneys’ fees; Treble and/or punitive damages Janet Bowman; Declaration of Trust of Karen M. Code §15600, et seq., among others Fraud; Negligent misrepresentation; Breach of fiduciary duty and breach of the covenants of good faith and fair dealing; Negligent supervision; Breach of contract; Section 20 violations; Respondeat superior Securities fraud; Common law fraud; Misrepresentation; Breach of fiduciary duty; Breach of contract; Unsuitability; Negligence; Violation of Federal Securities Laws, New York State common law, and FINRA Rules Negligence; Misrepresentations and omissions; Breach of fiduciary duty; Breach of contract; Unsuitability; Failure to supervise; Violations of securities regulatory rules and the Alabama Securities Act No claims just seeking expungement of FINRA arbitration styled Don C.

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d/b/a JHS Capital Advisors, Inc.; Point Capital, Inc. Code § 6-5-101, et seq.; misstatements and omissions to state material facts under Ala. Breach of fiduciary duty; Violation of FINRA and NYSE rules; Overconcentration; Misrepresentation; Omissions; Constructive fraud; Breach of contract; Common law fraud; Negligence; Negligent supervision; Violation of federal securities law; Violation of Louisiana Securities Act; Violation of the Tennessee Consumer Protection Act of 1977; Suitability Misrepresentations and Omissions; Breach of fiduciary duty; Unsuitable investments; Negligence; Failure of supervision; Breach of contract; Vicarious liability; Violation of FINRA rules; Violation of the Securities and Exchange Act Breach of written contract; Breach of fiduciary duty; Failure to supervise; Negligence and gross negligence; Misrepresentations and omissions; Fraud and constructive fraud; Violation of NYSE, NASD and/or FINRA Rules Breach of fiduciary duty; Fraud; Misrepresentation; Unsuitability; Negligent supervision; Violation of the Florida Securities and Investor Protection Act; Violation of the Securities Exchange Act of 1933 and the Securities Act 1934; Violation of FINRA rules and state and federal law Violations of the Florida Securities and Investor Protection Act; Violations of the Securities Act of 1934; Violations of the Securities Exchange Act of 1933; Violations of FINRA rules and state and federal law; Fraud; Breach of fiduciary duty; Misrepresentation; Unsuitability; Negligent supervision Breach of fiduciary duty; Fraud; Misrepresentation; Unsuitability; Negligent supervision; Violation of the Florida Securities and Investor Protection Act; Violation of the Securities Exchange Act of 1933 and the Securities Act 1934; Violation of FINRA rules and state and federal law Violations of the Florida Securities and Investor Protection Act; Violations of the Securities Act of 1934; Violations of the Securities Exchange Act of 1933; Violations of FINRA rules and state and federal law; Fraud; Breach of fiduciary duty; Misrepresentation; Unsuitability; Negligent supervision Breach of fiduciary duty; Fraud; Misrepresentation; Unsuitability; Negligent supervision; Violation of the Florida Securities and Investor Protection Act; Violation of the Securities Exchange Act of 1933 and the Securities Act 1934; Violation of FINRA rules and state and federal law Violation of Section 10(b) of the Securities Exchange Commission, Rules of the NYSE and of FINRA, andthe securities laws of Puerto Rico; Securities fraud; Churning; Unauthorized transactions; Unsuitabillty; Violation of Article 1802 of the Civil Code of Puerto Rico 31 Laws of Puerto Rico Annotated §5141; Failure to supervise; Violation of the duties of good faith and fair dealing; Breach of contract; Violations of ERISAUnsuitability and the absence of an underlying investment purpose; Material misrepresentations and omissions; Unauthorized trading and failure to follow instructions; Breach of fiduciary duty and breach of contract; Negligent supervision Violations of th Securities Exchange Act of 1934 and Rule 10b-5 under the Exchange Act; Common law fraud; Breach of contractual and legal duties; Negligence, gross negligence, and negligent supervision Violation of various sections and rules of the Securities Exchange Act of 1934; Violation of securities laws of the Commonwealth of Pennsylvania; Respondeat superior; Fraud; Negligence; Breach of fiduciary duty Negligence; Breach of fiduciary duty; Breach of contract; Negligent misrepresentation; Fraud and deceit (California Civil Code §§ 1572, 17); Business & Professional Code sec.

,311.79 (punitive); Barbara Burkhardt – ,656.90 (compensatory) 3.10 (punitive); Craig Carlson – ,841.00 (compensatory) ,000.00 (punitive); Laura Cohen – 5.00 (compensatory) 5.00 (punitive); Margaux Loretz – ,815.77 (compensatory) 0.00 (punitive); Michael Loretz – ,885.18 (compensatory) 0.00 (punitive); Monique Stevenson – 5.00 (compensatory) 0.00 (punitive)Misrepresentation; Misleading statements and failure to disclose material facts; Breach of contract; Fraud in the inducement; Common law fraud; Violations of the anti-fraud provisions of the Wisconsin Uniform Securities Law Breach of fiduciary duty; Breach of contract; Unsuitability; Failure to supervise; Violations of Securities Regulatory Rules; Violations of the Alabama Securities Act and the Alabama Deceptive Trade Practices Act; Intentional and negligent misrepresentation of material facts; Unjust enrichment; Breach of duty of good faith and fair dealing; Gross negligence; Failure to properly execute duties Account stated; Conversion/aiding and abetting conversion; Civil theft; Breach of fiduciary duty/aiding and abetting; Fraud/aiding and abetting; Breach of contract; Failure to supervise/negligent retention and supervision; Negligence/negligent misrepresentation; Conspiracy; Selling away violations; Apparent agency/respondeat superior; Unjust enrichment/quantum meruit Fraud; Aiding and abetting fraud; Uniform Securities Act fraud; Negligent misrepresentation; Aiding and abetting breach of fiduciary duty; Conversion; Civil conspiracy; Aiding and abetting fradulent conveyance; Quantum meruit FT Unit 1202 SR LN Closed End Port-Ser 6; ING Global Real Estate Fund; Proshares Ultra S&P 500; Proshares Ultra QQQ; Proshares Ultra Dow 30; ING Greater China Fund; and ING International Real Estate Fund. Smith; Robert Tweed; Debra Harrawood White H Thomas Fehn, Esq.; Orly Davidi, Esq.; Thomas R. Smith); Pro se (Debra Harrawood White)Fraudulent misrepresentation; Fraudulent concealment and omission; Negligent misrepresentation; Negligent concealment and omission; Breach of fiduciary duty; Unsuitability; Failure to supervise; Breach of implied covenant of good faith and fair dealing; Elder abuse under California Law; Violations of state and federal securities laws; Violations of FINRA, NASD and NYSE rules Breach of contract and warranties; Promissory estoppel; Consumer protection and deceptive trade practices; The Federal Securities Exchange Act; State securities statutes; Section 27.01 of Texas Business and Commerce Code; Claims under common law; Vicarious liability. Failure to supervise; Negligence; Fraud; Violations of federal and Minnesota state securities statutes; Sale of unregistered securities; Negligent supervision; Sale of securities by unregistered persons. All commissions and fees earned by Respondents; Interest on those lossess and commissions’fees at the legal rate of 10% per annum from December 15, 2006 through date of payment ; Such other damages as Panel deems appropriate, including punitive damages; All costs associated with arbitration proceeding Fraud; Negligent misrepresentations; Violations of Section 10(b) and 10b-5 of the Securities Exchange Act of 1934; Breach of fiduciary duty; Breach of the covenants of good faith and fair dealing; Negligent supervision; Respondeat superior Fraud; Negligent misrepresentation; Breach of fiduciary duty; Breach of the covenants of good faith and fair dealing; Breach of contractual requirements; Negligent supervision; Breach of conduct; Violations of Section 20 of the 1934 Securities Exchange Act; Respondeat superior; Failure to detect and stop Claimant’s unsuitable and reckless trading Misrepresentation and omissions; Violations of the Georgia Securities Act of 1973; Breach of fiduciary duty; Violation of NASD/FINRA conduct rules; Negligence; Breach of contract; Fradulent misrepresentation; Vicarious liability Unsuitablility; Misrepresentation; Failure to supervise; Violations of FINRA Breakpoint, Know Your Client, and Fair Dealing with Customers Rules; Breach of fiduciary duties; Material omissions; Failure to disclose risks,154.00 with interest at 6% annum from and including June 19, 2008 (compensatory); ,000 (costs); 5.00 (Reimbursement for non-refundable portion of FINRA filing fee); ,000.00 (Attorneys’ fees)Breach of fiduciary duty; Breach of contract; Negligence; Negligent misrepresentation; Violation of the Securities Act of 1933; Violation of the Texas Securities Act Section 33(A)(2); Violation of the Texas Securities Act Section 33(F)(1)John F. Berlind; Thomas Henry Cruikshank; Marsha Johnson Evans; Richard Severin Fuld, Jr.; Chrisopher Gent; Roland A. 15-1-1) Claimant alleged that in May 2008, througgh Respondent Kreps, Respondent Merrill Lynch froze Claimant’s account and failed to notify Claimant either with intent, indifference or by mistake; Claimant also alleged that in May 2008 he told Respondent Johnson to sell the stock in his account, but such a sale was never executed Breach of fiduciary duty; Breach of contract; Fraud in the inducement; Common law fraud pursuant to Virginia and California law; Violation of federal securities laws, FINRA rules and the Uniform Prudent Investors Act Prejudgment interest at the California statutory interest rate of 7% (,268.19) or the Virginia statutory rate of 6% (,372.73); 5 (Reimbursement of FINRA filing fee); Reimbursement of all FINRA hearing session fees; 1.56 (Copy and research costs); 0.00 (Expert witness fees); ,300.00 (Attorneys’ fees); Any othe relief as the Arbitrator may find appropriate under the circumstances Misrepresentations and omissions; Breach of fiduciary duty; Unsuitable investments; Violations of Section 11 and 12 of the Securities Act; Breach of the Securities Act of 1934; Breach of the Tennessee Securities Act; Fraud; Negligence; Failure of supervision; Breach of contract; Vicarious liability; Violation of FINRA rules Failure to treat Claimant in a just and equitable manner; Common law fraud; Fraudulent misrepresentation; Negligence; Gross negligence; Breach of fiduciary duty; Failure to supervise; Breach of contract Pre-award and post-award interest at 9% or other rate set by the Panel; Attorneys’ fees, expenses and other costs to Claimants as provided by contract, statutes, FINRA rules, equity, or any other ground recognized by the Panel; Monetary amount necessary to compensate Claimants for the additional income taxes they owe on any award; All hearing and filings fees; Such other relief as the Panel deems just and proper Breach of written contract; Breach of fiduciary duty; Failure to supervise; Negligence and gross negligence; Fraud and constructive fraud; Violation of NYSE, NASD, and/or FINRA Rules; Violation of the state and federal securities laws Leonard Zisman, individually and as Personal Representative of the Estate of Sylvia Zisman and as beneficiary of the Sylvia Zisman Revocable Living Trust dtd 09/13/02 and the Sylvia Zisman Recovable Living Trust No. Larry Ivan Behrends; Capstone Financial Group, Inc.; Capwest Securities, Inc.; Ronald Lee Ellis; Amy Grindstaff; Dale Keith Hall; Kathleen Louise Heshelow; Lawrence William Lambert; Michelle Rebecca Langer; MAM Securities, LLC; Jeffrey Jon Pridey; David L. Rosen, Esq.; Pro se (Larry Ivan Behrends); Pro se (David L. Slomak Trust only]

d/b/a JHS Capital Advisors, Inc.; Point Capital, Inc. Code § 6-5-101, et seq.; misstatements and omissions to state material facts under Ala. Breach of fiduciary duty; Violation of FINRA and NYSE rules; Overconcentration; Misrepresentation; Omissions; Constructive fraud; Breach of contract; Common law fraud; Negligence; Negligent supervision; Violation of federal securities law; Violation of Louisiana Securities Act; Violation of the Tennessee Consumer Protection Act of 1977; Suitability Misrepresentations and Omissions; Breach of fiduciary duty; Unsuitable investments; Negligence; Failure of supervision; Breach of contract; Vicarious liability; Violation of FINRA rules; Violation of the Securities and Exchange Act Breach of written contract; Breach of fiduciary duty; Failure to supervise; Negligence and gross negligence; Misrepresentations and omissions; Fraud and constructive fraud; Violation of NYSE, NASD and/or FINRA Rules Breach of fiduciary duty; Fraud; Misrepresentation; Unsuitability; Negligent supervision; Violation of the Florida Securities and Investor Protection Act; Violation of the Securities Exchange Act of 1933 and the Securities Act 1934; Violation of FINRA rules and state and federal law Violations of the Florida Securities and Investor Protection Act; Violations of the Securities Act of 1934; Violations of the Securities Exchange Act of 1933; Violations of FINRA rules and state and federal law; Fraud; Breach of fiduciary duty; Misrepresentation; Unsuitability; Negligent supervision Breach of fiduciary duty; Fraud; Misrepresentation; Unsuitability; Negligent supervision; Violation of the Florida Securities and Investor Protection Act; Violation of the Securities Exchange Act of 1933 and the Securities Act 1934; Violation of FINRA rules and state and federal law Violations of the Florida Securities and Investor Protection Act; Violations of the Securities Act of 1934; Violations of the Securities Exchange Act of 1933; Violations of FINRA rules and state and federal law; Fraud; Breach of fiduciary duty; Misrepresentation; Unsuitability; Negligent supervision Breach of fiduciary duty; Fraud; Misrepresentation; Unsuitability; Negligent supervision; Violation of the Florida Securities and Investor Protection Act; Violation of the Securities Exchange Act of 1933 and the Securities Act 1934; Violation of FINRA rules and state and federal law Violation of Section 10(b) of the Securities Exchange Commission, Rules of the NYSE and of FINRA, andthe securities laws of Puerto Rico; Securities fraud; Churning; Unauthorized transactions; Unsuitabillty; Violation of Article 1802 of the Civil Code of Puerto Rico 31 Laws of Puerto Rico Annotated §5141; Failure to supervise; Violation of the duties of good faith and fair dealing; Breach of contract; Violations of ERISAUnsuitability and the absence of an underlying investment purpose; Material misrepresentations and omissions; Unauthorized trading and failure to follow instructions; Breach of fiduciary duty and breach of contract; Negligent supervision Violations of th Securities Exchange Act of 1934 and Rule 10b-5 under the Exchange Act; Common law fraud; Breach of contractual and legal duties; Negligence, gross negligence, and negligent supervision Violation of various sections and rules of the Securities Exchange Act of 1934; Violation of securities laws of the Commonwealth of Pennsylvania; Respondeat superior; Fraud; Negligence; Breach of fiduciary duty Negligence; Breach of fiduciary duty; Breach of contract; Negligent misrepresentation; Fraud and deceit (California Civil Code §§ 1572, 17); Business & Professional Code sec. Estesbreach of fiduciary duty; breach of contract; unsuitability; failure to supervise; violations of the Alabama Securities Act; violations of securities regulatory rules; intentional and negligent misrepresentation Allianz Global Investors Capital LLC; Allianz Global Investors Distributors LLC; Allianz Global Investors Fund Management LLC; Bank of Montreal; E*Trade Securities LLC; Harris Investor Services, Inc.; ING Investments LLC; ING Investments Distributors LLC, aka ING Fund Distributor LLC; ING Prime Rate Trust; PIMCO Investments LLCPIMCO Hight Income Fund Preferred; ING Prime Rate Trust Auction Rate Preferred Series M; PIMCO Corporate Opportunity Fund Auction Rate Preferred; PIMCO Corporate Income Fund Auction Rate Preferred; Nicholas -Applegate n/k/a Allianz; ING Prime Rate Trust Auction Rate Preferred; ING Prime Rate Trust Auction Rate Preferredmisrepresentation and omissions; violation of the Tennessee Securities Act; breach of fiduciary duty; violation of FINRA/NASD conduct rules; negligence; failure of supervision; breach of contract; fraudulent misrepresentation; respondeat superiorbreach of fiduciary duty; failure to supervise; vicarious liability for the alleged wrongful acts of Respondent’s employees and agents under the doctrine of respondeat superior; unspecified breach of duties imposed by applicable industry rules, regulations and practicesbreach of fiduciary duty; breach of contract; unsuitability; misrepresentation; omission of facts; negligence; failure to supervise; violations of Alabama Securities Act; violations of Securities Regulatory Rulesmisrepresentations and omissions; violation of the New Mexico State Securities Laws; breach of fiduciary duty; violation of FINRA/NASD Conduct Rules; negligence; failure of supervision; breach of contract; fraudulent misrepresentation; respondeat superior Breach of fiduciary duties; professional negligence; suitability violations; breach of contract and breach of duty of good faith and fair dealing; failure to supervise; respondeat superior and vicarious liability; deceptive and unconscionable trade practices Gunn Allen Financial, Inc.; GAH Holdings, LLC; Gunn Allen Holding, Inc.; Hyde Park Equity Investments, LLC; Wright Asset Management Group, Inc.; JHS Capital Holdings, Inc. Violation of the Texas Securities Act; violation of the Texas Deceptive Trade Practices-Consumer Protection Act; violations of Section 2110 Conduct Rules of the NASD; violation of Section 2120 Conduct Rules of the NASD; violations of Section 2310 Conduct Rules of the NASD; violation of Section 3010 Conduct Rules of the NASD; breach of fiduciary duty; negligence and negligent supervision; common law fraud and misrepresentation; respondeat superiornegligent misrepresentation; unsuitability; professional negligence; breach of fiduciary duty; common law fraud and deceit; violation of FINRA Rules of Fair Practice including Rule 2310, Rule 2210, Rule 2120, and Rule 3010; violation of California Civil Code §3372 Negligence and unsuitability under the FINRA rules, the Alabama Securities Act and fiduciary principles; failure to supervise; fraud under Ala. Kubach State of Michigan securities fraud; breach of contract; breach of fiduciary duty; fraud and silent fraud; negligent misrepresentation; negligence; and violation of FINRA and industry rules of fair practice Failure of Respondents to invest according to Claimant’s instructions; Respondents knowingly deceived Claimant; Claimant was shuffled from broker to broker receiving no help [deemed by the Arbitrator to be an allegation of negligent supervision]; Respondents’ investments in preferred stock in Claimant’s account were inappropriate for Claimant Russell D. Labuda; $270,000.00 compensatory plus interest in the amount of $211,000.00 to Sherry A. Berestka, Jr.- $3,688.2 (compensatory) $1,311.79 (punitive); Barbara Burkhardt – $4,656.90 (compensatory) $343.10 (punitive); Craig Carlson – $25,841.00 (compensatory) $4,000.00 (punitive); Laura Cohen – $235.00 (compensatory) $765.00 (punitive); Margaux Loretz – $4,815.77 (compensatory) $180.00 (punitive); Michael Loretz – $4,885.18 (compensatory) $100.00 (punitive); Monique Stevenson – $425.00 (compensatory) $500.00 (punitive)Misrepresentation; Misleading statements and failure to disclose material facts; Breach of contract; Fraud in the inducement; Common law fraud; Violations of the anti-fraud provisions of the Wisconsin Uniform Securities Law Breach of fiduciary duty; Breach of contract; Unsuitability; Failure to supervise; Violations of Securities Regulatory Rules; Violations of the Alabama Securities Act and the Alabama Deceptive Trade Practices Act; Intentional and negligent misrepresentation of material facts; Unjust enrichment; Breach of duty of good faith and fair dealing; Gross negligence; Failure to properly execute duties Account stated; Conversion/aiding and abetting conversion; Civil theft; Breach of fiduciary duty/aiding and abetting; Fraud/aiding and abetting; Breach of contract; Failure to supervise/negligent retention and supervision; Negligence/negligent misrepresentation; Conspiracy; Selling away violations; Apparent agency/respondeat superior; Unjust enrichment/quantum meruit Fraud; Aiding and abetting fraud; Uniform Securities Act fraud; Negligent misrepresentation; Aiding and abetting breach of fiduciary duty; Conversion; Civil conspiracy; Aiding and abetting fradulent conveyance; Quantum meruit FT Unit 1202 SR LN Closed End Port-Ser 6; ING Global Real Estate Fund; Proshares Ultra S&P 500; Proshares Ultra QQQ; Proshares Ultra Dow 30; ING Greater China Fund; and ING International Real Estate Fund. Smith; Robert Tweed; Debra Harrawood White H Thomas Fehn, Esq.; Orly Davidi, Esq.; Thomas R. Smith); Pro se (Debra Harrawood White)Fraudulent misrepresentation; Fraudulent concealment and omission; Negligent misrepresentation; Negligent concealment and omission; Breach of fiduciary duty; Unsuitability; Failure to supervise; Breach of implied covenant of good faith and fair dealing; Elder abuse under California Law; Violations of state and federal securities laws; Violations of FINRA, NASD and NYSE rules Breach of contract and warranties; Promissory estoppel; Consumer protection and deceptive trade practices; The Federal Securities Exchange Act; State securities statutes; Section 27.01 of Texas Business and Commerce Code; Claims under common law; Vicarious liability. Failure to supervise; Negligence; Fraud; Violations of federal and Minnesota state securities statutes; Sale of unregistered securities; Negligent supervision; Sale of securities by unregistered persons. All commissions and fees earned by Respondents; Interest on those lossess and commissions’fees at the legal rate of 10% per annum from December 15, 2006 through date of payment ; Such other damages as Panel deems appropriate, including punitive damages; All costs associated with arbitration proceeding Fraud; Negligent misrepresentations; Violations of Section 10(b) and 10b-5 of the Securities Exchange Act of 1934; Breach of fiduciary duty; Breach of the covenants of good faith and fair dealing; Negligent supervision; Respondeat superior Fraud; Negligent misrepresentation; Breach of fiduciary duty; Breach of the covenants of good faith and fair dealing; Breach of contractual requirements; Negligent supervision; Breach of conduct; Violations of Section 20 of the 1934 Securities Exchange Act; Respondeat superior; Failure to detect and stop Claimant’s unsuitable and reckless trading Misrepresentation and omissions; Violations of the Georgia Securities Act of 1973; Breach of fiduciary duty; Violation of NASD/FINRA conduct rules; Negligence; Breach of contract; Fradulent misrepresentation; Vicarious liability Unsuitablility; Misrepresentation; Failure to supervise; Violations of FINRA Breakpoint, Know Your Client, and Fair Dealing with Customers Rules; Breach of fiduciary duties; Material omissions; Failure to disclose risks$70,154.00 with interest at 6% annum from and including June 19, 2008 (compensatory); $2,000 (costs); $225.00 (Reimbursement for non-refundable portion of FINRA filing fee); $35,000.00 (Attorneys’ fees)Breach of fiduciary duty; Breach of contract; Negligence; Negligent misrepresentation; Violation of the Securities Act of 1933; Violation of the Texas Securities Act Section 33(A)(2); Violation of the Texas Securities Act Section 33(F)(1)John F. Berlind; Thomas Henry Cruikshank; Marsha Johnson Evans; Richard Severin Fuld, Jr.; Chrisopher Gent; Roland A. 15-1-1) Claimant alleged that in May 2008, througgh Respondent Kreps, Respondent Merrill Lynch froze Claimant’s account and failed to notify Claimant either with intent, indifference or by mistake; Claimant also alleged that in May 2008 he told Respondent Johnson to sell the stock in his account, but such a sale was never executed Breach of fiduciary duty; Breach of contract; Fraud in the inducement; Common law fraud pursuant to Virginia and California law; Violation of federal securities laws, FINRA rules and the Uniform Prudent Investors Act Prejudgment interest at the California statutory interest rate of 7% ($6,268.19) or the Virginia statutory rate of 6% ($5,372.73); $425 (Reimbursement of FINRA filing fee); Reimbursement of all FINRA hearing session fees; $831.56 (Copy and research costs); $640.00 (Expert witness fees); $14,300.00 (Attorneys’ fees); Any othe relief as the Arbitrator may find appropriate under the circumstances Misrepresentations and omissions; Breach of fiduciary duty; Unsuitable investments; Violations of Section 11 and 12 of the Securities Act; Breach of the Securities Act of 1934; Breach of the Tennessee Securities Act; Fraud; Negligence; Failure of supervision; Breach of contract; Vicarious liability; Violation of FINRA rules Failure to treat Claimant in a just and equitable manner; Common law fraud; Fraudulent misrepresentation; Negligence; Gross negligence; Breach of fiduciary duty; Failure to supervise; Breach of contract Pre-award and post-award interest at 9% or other rate set by the Panel; Attorneys’ fees, expenses and other costs to Claimants as provided by contract, statutes, FINRA rules, equity, or any other ground recognized by the Panel; Monetary amount necessary to compensate Claimants for the additional income taxes they owe on any award; All hearing and filings fees; Such other relief as the Panel deems just and proper Breach of written contract; Breach of fiduciary duty; Failure to supervise; Negligence and gross negligence; Fraud and constructive fraud; Violation of NYSE, NASD, and/or FINRA Rules; Violation of the state and federal securities laws Leonard Zisman, individually and as Personal Representative of the Estate of Sylvia Zisman and as beneficiary of the Sylvia Zisman Revocable Living Trust dtd 09/13/02 and the Sylvia Zisman Recovable Living Trust No. Larry Ivan Behrends; Capstone Financial Group, Inc.; Capwest Securities, Inc.; Ronald Lee Ellis; Amy Grindstaff; Dale Keith Hall; Kathleen Louise Heshelow; Lawrence William Lambert; Michelle Rebecca Langer; MAM Securities, LLC; Jeffrey Jon Pridey; David L. Rosen, Esq.; Pro se (Larry Ivan Behrends); Pro se (David L. Slomak Trust only]$1,892,900.00 (compensatory damages); Other damages; Unspecified amount of punitive damages; Damages pursuant to Cal. Code Section 25401; Damages pursuant to Ohio revised Code Section 1707.43; Rescission; Disgorgement of Respondent’s compensation; Rescission of RMK Funds transactions; Interest at legal rate; Reasonable attorneys’ fees; Costs; Expert fees; Witnesses fees; Administrative expenses; Any other and further relief deemed just and equitable by the Panel; Dismissal of this action; All FINRA assessments and costs be borne by Claimants; Preparation costs; Travel expenses; Attorneys’ fees; Expert witness fees; Other, further and general relief to which may be entitled. Anslie Violations of Florida Securities and Investor Protection Act, the Securities Act of 1934, the Securities Exchange Act of 1933, FINRA Rules, and states and federal laws; Fraud; Misrepresentation; Unsuitability; Negligent supervision$75,000 plus interest at Florida legal rate form January 15, 2009 until date of repayment for violation of Florida Statutes Section 517.301; Attorneys fees, the amount which shall be determined by a court of competent jurisdiction Negligence; Breach of contract; Breach of fiduciary duty; Suitability; Violation of NASD/FINRA Conduct Rule 2210; Violation of Section 12(a)(2) of the Securities Act of 1933; Violation of Section 509(b) of the Uniform Securities Act; Violation of Section 25401 of the California Corporations Code; Violation of the California Business and Professions Code 17500Unsuitability; Breach of fiduciary duty; Negligence and gross negligence; Breach of contract; Failure to supervise (negligent supervision); Violation of Section 61 of the Utah Uniform Securities Act; Respondeat superior; Failure to treat Claimant in a just and equitable manner; Fraudulent misrepresentation and omission$22,565.21 (compensatory); $22,000.00 (punitive); $14,840.00 (attorneys’ fees); $2,017.00 (costs); Interest of any unpaid balances remaining as of December 1, 2012 from the aforementioned amounts awarded in compensatory and punitive damages at the rate of 10% compounded annually pursuant to Utah state law (Utah Code Ann. Erkesbreach of fiduciary duty; breach of contract; unsuitability; violations of securities regulatory rules; violations of the Alabama Securities Act; fraudulent suppression; negligence; omissions; intentional and negligent misrepresentation of material facts; breach of the duty of good faith and fair dealingmisrepresentations and omissions; breach of fiduciary duty; unsuitable investments; negligence; failure of supervision; breach of contract; vicarious liability; violation of Fi NRA rules; violation of Tennessee statutesviolations of state securities laws; violation of the Illinois Elder Abuse and Neglect Act; violation of Illinois Deceptive Trade Practices Act 815 ILCS 510/1 et seq.; violations of FINRA conduct rules; breach of contract; common law fraud and misrepresentation; breach of fiduciary duty and constructive fraud; negligence; negligent supervision Swift Transportation Co., Inc.; Symantec Corporation; Tempur Pedic International; Elan Corporation; Global Industries Ltd.; Lexar Media, Inc.; Dynamic Materials Corporation; MGP Ingredients, Inc.; Petrohawk Energy Corporation; Chesapeake Energy Corporationbreach of fiduciary duty; breach of contract; negligence; gross negligence; failure to supervise; breach of the anti-fraud provisions of the securities laws of Connecticut, C. Section 49:3-71; breach of Section 10b of the Securities Exchange Act of 1934, 15 U. Brown ultimately receives or is due to receive from the estate related to these shares; the $97,126.65 Mr. Brown’s estate per the Order of the Probate Court, less any amounts Mr. Mandel Irrevocable Trust 9/28/81 and Marsha Zimmerman Irrevocable Trust 9/28/81; Sharon Rosen and Jay H. S.; violation of Colorado Seccurities Act, sections 11-51-501(1)(b), C. Lane; Geneva OSWX I, LLC; Geneva OSWX IX, LLC; Geneva OSWX XIX, LLC; Geneva OSWX XXVII, LLC; Jack Hoopes; Lorna Hoopes; Janet Furman Bowman Trust; Patrick Jordan; Karen Lane; Patrick J. Brown ultimately receives from the estate related to these dividends; the value of the 1,600 shares of PTR stock as of the date of the filing of the Statement of Claim, less any amounts Mr. Chapman, in his capacity as trustee of the Sharon J. Fraud; Negligence; Misrepresentation; Unsuitability; Breach of fiduciary duty; Breach of the covenants of good faith and fair dealing; Failure to supervise; Violations of the 1934 Act and FINRA rules; Respondeat superior Breach of fiduciary duty; Breach of written contract; Fraud by misrepresentation and omission; Failure to supervise and control; Violation of federal and state securities laws, statutory and common law and NASD Rules of fair practice and NYSE Rules Excessive trading/churning; Violation of Rule 10b-5; Common law fraud; Ordinary negligence; Gross negligence; Breach of contract; Negligent retention and/or negligent hiring; Control person liability; Respondeat superior Disgorgement of ill-gotten gains ($985,316.31); Loss of opportunity damages (not less than $250,000.00); Legal rate of interest on principal monies invested; Costs; Attorneys’ fees; Treble and/or punitive damages Janet Bowman; Declaration of Trust of Karen M. Code §15600, et seq., among others Fraud; Negligent misrepresentation; Breach of fiduciary duty and breach of the covenants of good faith and fair dealing; Negligent supervision; Breach of contract; Section 20 violations; Respondeat superior Securities fraud; Common law fraud; Misrepresentation; Breach of fiduciary duty; Breach of contract; Unsuitability; Negligence; Violation of Federal Securities Laws, New York State common law, and FINRA Rules Negligence; Misrepresentations and omissions; Breach of fiduciary duty; Breach of contract; Unsuitability; Failure to supervise; Violations of securities regulatory rules and the Alabama Securities Act No claims just seeking expungement of FINRA arbitration styled Don C.

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d/b/a JHS Capital Advisors, Inc.; Point Capital, Inc. Code § 6-5-101, et seq.; misstatements and omissions to state material facts under Ala. Breach of fiduciary duty; Violation of FINRA and NYSE rules; Overconcentration; Misrepresentation; Omissions; Constructive fraud; Breach of contract; Common law fraud; Negligence; Negligent supervision; Violation of federal securities law; Violation of Louisiana Securities Act; Violation of the Tennessee Consumer Protection Act of 1977; Suitability Misrepresentations and Omissions; Breach of fiduciary duty; Unsuitable investments; Negligence; Failure of supervision; Breach of contract; Vicarious liability; Violation of FINRA rules; Violation of the Securities and Exchange Act Breach of written contract; Breach of fiduciary duty; Failure to supervise; Negligence and gross negligence; Misrepresentations and omissions; Fraud and constructive fraud; Violation of NYSE, NASD and/or FINRA Rules Breach of fiduciary duty; Fraud; Misrepresentation; Unsuitability; Negligent supervision; Violation of the Florida Securities and Investor Protection Act; Violation of the Securities Exchange Act of 1933 and the Securities Act 1934; Violation of FINRA rules and state and federal law Violations of the Florida Securities and Investor Protection Act; Violations of the Securities Act of 1934; Violations of the Securities Exchange Act of 1933; Violations of FINRA rules and state and federal law; Fraud; Breach of fiduciary duty; Misrepresentation; Unsuitability; Negligent supervision Breach of fiduciary duty; Fraud; Misrepresentation; Unsuitability; Negligent supervision; Violation of the Florida Securities and Investor Protection Act; Violation of the Securities Exchange Act of 1933 and the Securities Act 1934; Violation of FINRA rules and state and federal law Violations of the Florida Securities and Investor Protection Act; Violations of the Securities Act of 1934; Violations of the Securities Exchange Act of 1933; Violations of FINRA rules and state and federal law; Fraud; Breach of fiduciary duty; Misrepresentation; Unsuitability; Negligent supervision Breach of fiduciary duty; Fraud; Misrepresentation; Unsuitability; Negligent supervision; Violation of the Florida Securities and Investor Protection Act; Violation of the Securities Exchange Act of 1933 and the Securities Act 1934; Violation of FINRA rules and state and federal law Violation of Section 10(b) of the Securities Exchange Commission, Rules of the NYSE and of FINRA, andthe securities laws of Puerto Rico; Securities fraud; Churning; Unauthorized transactions; Unsuitabillty; Violation of Article 1802 of the Civil Code of Puerto Rico 31 Laws of Puerto Rico Annotated §5141; Failure to supervise; Violation of the duties of good faith and fair dealing; Breach of contract; Violations of ERISAUnsuitability and the absence of an underlying investment purpose; Material misrepresentations and omissions; Unauthorized trading and failure to follow instructions; Breach of fiduciary duty and breach of contract; Negligent supervision Violations of th Securities Exchange Act of 1934 and Rule 10b-5 under the Exchange Act; Common law fraud; Breach of contractual and legal duties; Negligence, gross negligence, and negligent supervision Violation of various sections and rules of the Securities Exchange Act of 1934; Violation of securities laws of the Commonwealth of Pennsylvania; Respondeat superior; Fraud; Negligence; Breach of fiduciary duty Negligence; Breach of fiduciary duty; Breach of contract; Negligent misrepresentation; Fraud and deceit (California Civil Code §§ 1572, 17); Business & Professional Code sec.

,892,900.00 (compensatory damages); Other damages; Unspecified amount of punitive damages; Damages pursuant to Cal. Code Section 25401; Damages pursuant to Ohio revised Code Section 1707.43; Rescission; Disgorgement of Respondent’s compensation; Rescission of RMK Funds transactions; Interest at legal rate; Reasonable attorneys’ fees; Costs; Expert fees; Witnesses fees; Administrative expenses; Any other and further relief deemed just and equitable by the Panel; Dismissal of this action; All FINRA assessments and costs be borne by Claimants; Preparation costs; Travel expenses; Attorneys’ fees; Expert witness fees; Other, further and general relief to which may be entitled. Anslie Violations of Florida Securities and Investor Protection Act, the Securities Act of 1934, the Securities Exchange Act of 1933, FINRA Rules, and states and federal laws; Fraud; Misrepresentation; Unsuitability; Negligent supervision,000 plus interest at Florida legal rate form January 15, 2009 until date of repayment for violation of Florida Statutes Section 517.301; Attorneys fees, the amount which shall be determined by a court of competent jurisdiction Negligence; Breach of contract; Breach of fiduciary duty; Suitability; Violation of NASD/FINRA Conduct Rule 2210; Violation of Section 12(a)(2) of the Securities Act of 1933; Violation of Section 509(b) of the Uniform Securities Act; Violation of Section 25401 of the California Corporations Code; Violation of the California Business and Professions Code 17500Unsuitability; Breach of fiduciary duty; Negligence and gross negligence; Breach of contract; Failure to supervise (negligent supervision); Violation of Section 61 of the Utah Uniform Securities Act; Respondeat superior; Failure to treat Claimant in a just and equitable manner; Fraudulent misrepresentation and omission,565.21 (compensatory); ,000.00 (punitive); ,840.00 (attorneys’ fees); ,017.00 (costs); Interest of any unpaid balances remaining as of December 1, 2012 from the aforementioned amounts awarded in compensatory and punitive damages at the rate of 10% compounded annually pursuant to Utah state law (Utah Code Ann. Erkesbreach of fiduciary duty; breach of contract; unsuitability; violations of securities regulatory rules; violations of the Alabama Securities Act; fraudulent suppression; negligence; omissions; intentional and negligent misrepresentation of material facts; breach of the duty of good faith and fair dealingmisrepresentations and omissions; breach of fiduciary duty; unsuitable investments; negligence; failure of supervision; breach of contract; vicarious liability; violation of Fi NRA rules; violation of Tennessee statutesviolations of state securities laws; violation of the Illinois Elder Abuse and Neglect Act; violation of Illinois Deceptive Trade Practices Act 815 ILCS 510/1 et seq.; violations of FINRA conduct rules; breach of contract; common law fraud and misrepresentation; breach of fiduciary duty and constructive fraud; negligence; negligent supervision Swift Transportation Co., Inc.; Symantec Corporation; Tempur Pedic International; Elan Corporation; Global Industries Ltd.; Lexar Media, Inc.; Dynamic Materials Corporation; MGP Ingredients, Inc.; Petrohawk Energy Corporation; Chesapeake Energy Corporationbreach of fiduciary duty; breach of contract; negligence; gross negligence; failure to supervise; breach of the anti-fraud provisions of the securities laws of Connecticut, C. Section 49:3-71; breach of Section 10b of the Securities Exchange Act of 1934, 15 U. Brown ultimately receives or is due to receive from the estate related to these shares; the ,126.65 Mr. Brown’s estate per the Order of the Probate Court, less any amounts Mr. Mandel Irrevocable Trust 9/28/81 and Marsha Zimmerman Irrevocable Trust 9/28/81; Sharon Rosen and Jay H. S.; violation of Colorado Seccurities Act, sections 11-51-501(1)(b), C. Lane; Geneva OSWX I, LLC; Geneva OSWX IX, LLC; Geneva OSWX XIX, LLC; Geneva OSWX XXVII, LLC; Jack Hoopes; Lorna Hoopes; Janet Furman Bowman Trust; Patrick Jordan; Karen Lane; Patrick J. Brown ultimately receives from the estate related to these dividends; the value of the 1,600 shares of PTR stock as of the date of the filing of the Statement of Claim, less any amounts Mr. Chapman, in his capacity as trustee of the Sharon J. Fraud; Negligence; Misrepresentation; Unsuitability; Breach of fiduciary duty; Breach of the covenants of good faith and fair dealing; Failure to supervise; Violations of the 1934 Act and FINRA rules; Respondeat superior Breach of fiduciary duty; Breach of written contract; Fraud by misrepresentation and omission; Failure to supervise and control; Violation of federal and state securities laws, statutory and common law and NASD Rules of fair practice and NYSE Rules Excessive trading/churning; Violation of Rule 10b-5; Common law fraud; Ordinary negligence; Gross negligence; Breach of contract; Negligent retention and/or negligent hiring; Control person liability; Respondeat superior Disgorgement of ill-gotten gains (5,316.31); Loss of opportunity damages (not less than 0,000.00); Legal rate of interest on principal monies invested; Costs; Attorneys’ fees; Treble and/or punitive damages Janet Bowman; Declaration of Trust of Karen M. Code §15600, et seq., among others Fraud; Negligent misrepresentation; Breach of fiduciary duty and breach of the covenants of good faith and fair dealing; Negligent supervision; Breach of contract; Section 20 violations; Respondeat superior Securities fraud; Common law fraud; Misrepresentation; Breach of fiduciary duty; Breach of contract; Unsuitability; Negligence; Violation of Federal Securities Laws, New York State common law, and FINRA Rules Negligence; Misrepresentations and omissions; Breach of fiduciary duty; Breach of contract; Unsuitability; Failure to supervise; Violations of securities regulatory rules and the Alabama Securities Act No claims just seeking expungement of FINRA arbitration styled Don C.

Tommerup-Arrowhead, LLCViolations of Federal Securities Laws; violation of the Securities Act of Montana; violation of the Montana Unfair Trade Practices and Consumer Protection Act; violation of Utah Securities Act; breach of contract; common law fraud; breach of fiduciary duty; negligence and gross negligence Pre-award and post-award interest at the maximum rate allowed by law from the date of the original investments; Cost of arbitration and expenses including reasonable attorneys’ fees, expert witness fees Violations of Sections 10(b) and 20(a) of the Securities Exchange Act of 1934; violations of Section 12 of the Securities Act of 1933; conversion; breach of fiduciary duty; negligent failure to supervise; common law fraud Violation of the California Corporate Securities Law; violation of California Consumer Legal Remedies Act; breach of fiduciary duty; lack of supervision; control person liability; breach of contract; fraudulent misrepresentation Negligence; breach of fiduciary duty; intentional misrepresentation; unauthorized trading; unsuitable investing; invasion of privacy; failure to supervise; intentional infliction of emotional distress; financial abuse and/or elder abuse; unfair and deceptive business practices; unlawful discrimination in violation of the Unruh Civil Rights Actnegligence; fraud, deceit and omission of material facts; breach of fiduciary duty and breach of trust; violation of FINRA rules and regulations; breach of contract and breach of implied covenant of good faith and fair dealingmisrepresentations and omissions; unsuitable investments; breach of fiduciary duty; negligence; failure of supervision; breach of contract; vicarious liability; violation of the Tennessee Securities Act and the Tennessee Consumer Protection Act; violation of FINRA rules Breach of fiduciary duty; common law fraud; misrepresentetion/non-disclosures; omissions of facts; unsuitability; breach of contract; failure to supervise; negligence; and violations of Section 10(b) of the Securities Exchange Act of 1934 and SEC rules Misrepresentations of material facts; omission of facts; negligence; churning; unsuitability; breach of fiduciary duty; fraud; failure to supervise; FINRA rule violations; Pennsylvania state law violations Reimbursement for all margin interest; commissions and fees paid by Claimants; loss of income that would have been received had Claimants’ account been managed properly; all other losses that Claimants have suffered; attorneys’ fees, costs, pre- and post-judgment interest; for all other sums to which they are entitled at law or equity. Jay Designated Beneficiary Plan/TOD Kendal Capaz, Renee Hartmann, and Courtney King; Tom L. Rose FINRA filing fee (

Tommerup-Arrowhead, LLCViolations of Federal Securities Laws; violation of the Securities Act of Montana; violation of the Montana Unfair Trade Practices and Consumer Protection Act; violation of Utah Securities Act; breach of contract; common law fraud; breach of fiduciary duty; negligence and gross negligence Pre-award and post-award interest at the maximum rate allowed by law from the date of the original investments; Cost of arbitration and expenses including reasonable attorneys’ fees, expert witness fees Violations of Sections 10(b) and 20(a) of the Securities Exchange Act of 1934; violations of Section 12 of the Securities Act of 1933; conversion; breach of fiduciary duty; negligent failure to supervise; common law fraud Violation of the California Corporate Securities Law; violation of California Consumer Legal Remedies Act; breach of fiduciary duty; lack of supervision; control person liability; breach of contract; fraudulent misrepresentation Negligence; breach of fiduciary duty; intentional misrepresentation; unauthorized trading; unsuitable investing; invasion of privacy; failure to supervise; intentional infliction of emotional distress; financial abuse and/or elder abuse; unfair and deceptive business practices; unlawful discrimination in violation of the Unruh Civil Rights Actnegligence; fraud, deceit and omission of material facts; breach of fiduciary duty and breach of trust; violation of FINRA rules and regulations; breach of contract and breach of implied covenant of good faith and fair dealingmisrepresentations and omissions; unsuitable investments; breach of fiduciary duty; negligence; failure of supervision; breach of contract; vicarious liability; violation of the Tennessee Securities Act and the Tennessee Consumer Protection Act; violation of FINRA rules Breach of fiduciary duty; common law fraud; misrepresentetion/non-disclosures; omissions of facts; unsuitability; breach of contract; failure to supervise; negligence; and violations of Section 10(b) of the Securities Exchange Act of 1934 and SEC rules Misrepresentations of material facts; omission of facts; negligence; churning; unsuitability; breach of fiduciary duty; fraud; failure to supervise; FINRA rule violations; Pennsylvania state law violations Reimbursement for all margin interest; commissions and fees paid by Claimants; loss of income that would have been received had Claimants’ account been managed properly; all other losses that Claimants have suffered; attorneys’ fees, costs, pre- and post-judgment interest; for all other sums to which they are entitled at law or equity.

Jay Designated Beneficiary Plan/TOD Kendal Capaz, Renee Hartmann, and Courtney King; Tom L. Rose FINRA filing fee ($1,425.00); reimbursement of all FINRA hearing session fees; pre-judgment interest at the Florida statutory interest rate from the dates Claimants purchased their Schwab Yield Plus Fund securities in their accounts through the date of the arbitration award; post-award interest at the Florida statutory interest rate from the date of the arbitration award through the date of payment of the award; punitive damages Violation of Sections 10(b) and 20(a) of the Securities Exchange Act of 1934; sale of unsuitable securities; violation of the Texas Securities Act; breach of fiduciary duty; negligent failure to supervise; common law fraud$140,000.00 (attorneys’ fees); $14,284.00 (expenses); $9,400.00 (consulting fees); $1,956.00 (court reporting fees); disgorgement of comissions; lost opportunity or market adjustment losses; costs; any additional attorneys’ fees Breach of contract; breach of fiduciary duty; unsuitability; fraudulent misrepresentation; negligence; breach of duties; violations of 15 U. Breach of written contract; Breach of fiduciary duty; Failure to supervise; negligence and gross negligence; Misrepresentation and omissions; Fraud and constructive fraud; Violation of NYSE, NASD and/or FINRA Rules; Violation of the federal securities laws Striker Partnere, DBSI Denton Court, Medical Capital, Castle Pines, Grandview Partner IRA, Spruce Heights, Santa Fe Partnere.

78 j (b) and 78 t (a), Massachusetts General Laws Chapters 110A §s 410 (a)(2), 410 (b) and 93A; agency liability; failure to supervise; respondeat superior Failure to treat the Claimant in a just and equitable manner; breach of contract; breach of fiduciary duty; negligence; negligent misrepresentations and omissions; violation of the Colorado Blue Sky Laws Breach of fiduciary duty; breach of the implied covenant of good faith and fair dealing; negligent misrepresentation; breach of contract; control person liability; violation of §2310 NASD Conduct Rules (Suitability), of NYSE Rules 405 “Know Your Customer Rules”, and the Wisconsin Administrative Code; violation of §10(B) and 20 of the Securities Exchange Act of 1934Brent R. Allan; Allan Limited Partnership; Allan Family Limited Partnership; Allan Limited Partnership FBO Children; B & B Irrevocable Trust UAD 3/21/99; Brent Allan and Deborah Allan JTWROS; Brent R. Annuity; Capital Income Builder; Income Fund of America; Federated American Leaders; Federated Market Opportunityviolations of the Florida Securities and Investor Protection Act, the Securities Act of 1934, the Securities Exchange Act of 1933, FINRA rules, and state and federal law; fraud; misrepresentation/non-disclosure; omission of facts; unsuitability; negligent supervision; breach of contract; negligence; failure to supervise; breach of fiduciary duty Breach of contract; breach of the implied covenant of good faith and fair dealing; breach of fiduciary duty; violation of FINRA Rule 2010; violation of FINRA Rule 2020; violation of NASD conduct Rule 2310; negligence; fraud or deceit; violation of section 10B-5 of the Securities and Exchange Act; violation of California Business and Professions Code Section 17200Randall A. Code §§ 8-6-17(1 )-(3) and 8-6-19(a)); control person liability; Respondeat superiorunspecified punitive; costs and forum fees; pre-award interest at the Alabama statutory interest rate from the date Claimants purchased their Schwab Yield Plus Fund securities; post-award interest at the Alabama statutory interest rate from the date of the award through the date of payment; attorneys’ fees; punitive damages; and, such other relief as the Panel deemed appropriate.

Negligence; Breach of fiduciary duty; Misrepresentation; Chuming; Unauthorized trading; Suitability; Manipulations; Statutory fraud pursuant to section 27.01 of the Texas Business & Commerce Code; Fraudulent misrepresentation; Fraud by non-disclosure Breach of fiduciary duty; Breach of written contract; Fraud by misrepresentation and omission; Failure to supervise and control; Violation of state and federal securities laws; Violation of FINRA rules of fair practice and NYSE rules Breach of contract; Breach of fiduciary duty; Violations of FINRA conduct rules; Negligence; Negligent supervision; Negligent misrepresentation and omissions; Failure to supervise; Violation of the Georgia Blue Sky Act Violations of secs. C.; Wells Fargo Institutional Securities, LLC; Wells Fargo Investments, LLCBreach of fiduciary duty; Common law fraud; Negligent misrepresentation; Elder abuse; Neglience; Violation of federal and state securities laws and NASD/FINRA rules and regulations; Constructive fraud; Violation of California’s Civil Code and Business and Professional Code; Breach of written contract; Unsuitability Disgorgement of all commissions and fees; Statutory and treble damages for elder abuse; Lost opportunity Costs; Punitive damages; Attorneys’ fees and costs; Pre and Post Judgment Interest at the legal rate on all sums recovered Wrongful conduct; Breach of written contract; Fraud by misrepresentation; Failure to supervise and control; Violation of federal and state securities laws and statutory common law; Violation of FINRA’s rules of fair practice and NYSE’s rules; Elder abuse Breach of contract and warranties, promissory estoppel; Breach of fiduciary duty; Misrepresentations; Omissions of facts; Respondeat superior/vicarious responsibility; Violation of North Carolina Securities Act; Negligence and gross negligence; Unauthorized transactions Class S mutual funds; Class I mutual funds; Russell Global Equity, Class S; Russell Emerging Markets, Class S; Russell Multi Strategy Bond FD S; Russell Real Estate Securities CI S; Russell Quantitative Equity Fund CI S; Russell Diversified Equity FD CI S; Russell Intl. 09-05758, from Claimant Dalfotis’s Forms U-4 and U-5, and related records, based upon the standards set forth in NOtice to Members 04-16 and FINRA Rule 2080Violation ofthe Illinois Securities Law of 1953; Violation of Regulation 130.850 under the Illinois Securities Law of 1953; Violation of the Illinois Consumer Fraud and Deceptive Practices Act; Common law fraud and misrepresentation; Violations of Section 2110 Conduct Rules of the NASD; Violation of section 2120 Conduct Rules of the NASD; Violations of section 2310 Conduct Rules ofthe NASD; Violation of section 3010 Conduct Rules of the NASD; Breach of fiduciary duty; Negligence and negligent supervision; Respondeat superior Breach of contract and warranties; Promissory estoppel; Unfair trade and deceptive practices; Violations of state securities statutes; Violations of state fraud statutes; Claims under common law, including intentional and negligent misrepresentations, unjust enrichment, breach of fiduciary duty, and negligence; Secondary liability under various doctrines.

Stat.; Breach of contract; Negligent misrepresentation Violations of the Virginia Securities Act and other Blue Sky statutes; Violation of the federal securities laws; Common law fraud; Breach of fiduciary duty; Negligence; Unauthorized trading; Breach of contract; Failure to supervise and negligent hiring; Violation of state, federal, FINRA, NASD, and NYSE rules and regulations; Principals of agency, vicarious liability, respondeat superior, and control person liability; Gneral equitable principles that apply in FINRA arbitrations.

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Tommerup-Arrowhead, LLCViolations of Federal Securities Laws; violation of the Securities Act of Montana; violation of the Montana Unfair Trade Practices and Consumer Protection Act; violation of Utah Securities Act; breach of contract; common law fraud; breach of fiduciary duty; negligence and gross negligence Pre-award and post-award interest at the maximum rate allowed by law from the date of the original investments; Cost of arbitration and expenses including reasonable attorneys’ fees, expert witness fees Violations of Sections 10(b) and 20(a) of the Securities Exchange Act of 1934; violations of Section 12 of the Securities Act of 1933; conversion; breach of fiduciary duty; negligent failure to supervise; common law fraud Violation of the California Corporate Securities Law; violation of California Consumer Legal Remedies Act; breach of fiduciary duty; lack of supervision; control person liability; breach of contract; fraudulent misrepresentation Negligence; breach of fiduciary duty; intentional misrepresentation; unauthorized trading; unsuitable investing; invasion of privacy; failure to supervise; intentional infliction of emotional distress; financial abuse and/or elder abuse; unfair and deceptive business practices; unlawful discrimination in violation of the Unruh Civil Rights Actnegligence; fraud, deceit and omission of material facts; breach of fiduciary duty and breach of trust; violation of FINRA rules and regulations; breach of contract and breach of implied covenant of good faith and fair dealingmisrepresentations and omissions; unsuitable investments; breach of fiduciary duty; negligence; failure of supervision; breach of contract; vicarious liability; violation of the Tennessee Securities Act and the Tennessee Consumer Protection Act; violation of FINRA rules Breach of fiduciary duty; common law fraud; misrepresentetion/non-disclosures; omissions of facts; unsuitability; breach of contract; failure to supervise; negligence; and violations of Section 10(b) of the Securities Exchange Act of 1934 and SEC rules Misrepresentations of material facts; omission of facts; negligence; churning; unsuitability; breach of fiduciary duty; fraud; failure to supervise; FINRA rule violations; Pennsylvania state law violations Reimbursement for all margin interest; commissions and fees paid by Claimants; loss of income that would have been received had Claimants’ account been managed properly; all other losses that Claimants have suffered; attorneys’ fees, costs, pre- and post-judgment interest; for all other sums to which they are entitled at law or equity. Jay Designated Beneficiary Plan/TOD Kendal Capaz, Renee Hartmann, and Courtney King; Tom L. Rose FINRA filing fee ($1,425.00); reimbursement of all FINRA hearing session fees; pre-judgment interest at the Florida statutory interest rate from the dates Claimants purchased their Schwab Yield Plus Fund securities in their accounts through the date of the arbitration award; post-award interest at the Florida statutory interest rate from the date of the arbitration award through the date of payment of the award; punitive damages Violation of Sections 10(b) and 20(a) of the Securities Exchange Act of 1934; sale of unsuitable securities; violation of the Texas Securities Act; breach of fiduciary duty; negligent failure to supervise; common law fraud$140,000.00 (attorneys’ fees); $14,284.00 (expenses); $9,400.00 (consulting fees); $1,956.00 (court reporting fees); disgorgement of comissions; lost opportunity or market adjustment losses; costs; any additional attorneys’ fees Breach of contract; breach of fiduciary duty; unsuitability; fraudulent misrepresentation; negligence; breach of duties; violations of 15 U. Breach of written contract; Breach of fiduciary duty; Failure to supervise; negligence and gross negligence; Misrepresentation and omissions; Fraud and constructive fraud; Violation of NYSE, NASD and/or FINRA Rules; Violation of the federal securities laws Striker Partnere, DBSI Denton Court, Medical Capital, Castle Pines, Grandview Partner IRA, Spruce Heights, Santa Fe Partnere. 78 j (b) and 78 t (a), Massachusetts General Laws Chapters 110A §s 410 (a)(2), 410 (b) and 93A; agency liability; failure to supervise; respondeat superior Failure to treat the Claimant in a just and equitable manner; breach of contract; breach of fiduciary duty; negligence; negligent misrepresentations and omissions; violation of the Colorado Blue Sky Laws Breach of fiduciary duty; breach of the implied covenant of good faith and fair dealing; negligent misrepresentation; breach of contract; control person liability; violation of §2310 NASD Conduct Rules (Suitability), of NYSE Rules 405 “Know Your Customer Rules”, and the Wisconsin Administrative Code; violation of §10(B) and 20 of the Securities Exchange Act of 1934Brent R. Allan; Allan Limited Partnership; Allan Family Limited Partnership; Allan Limited Partnership FBO Children; B & B Irrevocable Trust UAD 3/21/99; Brent Allan and Deborah Allan JTWROS; Brent R. Annuity; Capital Income Builder; Income Fund of America; Federated American Leaders; Federated Market Opportunityviolations of the Florida Securities and Investor Protection Act, the Securities Act of 1934, the Securities Exchange Act of 1933, FINRA rules, and state and federal law; fraud; misrepresentation/non-disclosure; omission of facts; unsuitability; negligent supervision; breach of contract; negligence; failure to supervise; breach of fiduciary duty Breach of contract; breach of the implied covenant of good faith and fair dealing; breach of fiduciary duty; violation of FINRA Rule 2010; violation of FINRA Rule 2020; violation of NASD conduct Rule 2310; negligence; fraud or deceit; violation of section 10B-5 of the Securities and Exchange Act; violation of California Business and Professions Code Section 17200Randall A. Code §§ 8-6-17(1 )-(3) and 8-6-19(a)); control person liability; Respondeat superiorunspecified punitive; costs and forum fees; pre-award interest at the Alabama statutory interest rate from the date Claimants purchased their Schwab Yield Plus Fund securities; post-award interest at the Alabama statutory interest rate from the date of the award through the date of payment; attorneys’ fees; punitive damages; and, such other relief as the Panel deemed appropriate. Negligence; Breach of fiduciary duty; Misrepresentation; Chuming; Unauthorized trading; Suitability; Manipulations; Statutory fraud pursuant to section 27.01 of the Texas Business & Commerce Code; Fraudulent misrepresentation; Fraud by non-disclosure Breach of fiduciary duty; Breach of written contract; Fraud by misrepresentation and omission; Failure to supervise and control; Violation of state and federal securities laws; Violation of FINRA rules of fair practice and NYSE rules Breach of contract; Breach of fiduciary duty; Violations of FINRA conduct rules; Negligence; Negligent supervision; Negligent misrepresentation and omissions; Failure to supervise; Violation of the Georgia Blue Sky Act Violations of secs. C.; Wells Fargo Institutional Securities, LLC; Wells Fargo Investments, LLCBreach of fiduciary duty; Common law fraud; Negligent misrepresentation; Elder abuse; Neglience; Violation of federal and state securities laws and NASD/FINRA rules and regulations; Constructive fraud; Violation of California’s Civil Code and Business and Professional Code; Breach of written contract; Unsuitability Disgorgement of all commissions and fees; Statutory and treble damages for elder abuse; Lost opportunity Costs; Punitive damages; Attorneys’ fees and costs; Pre and Post Judgment Interest at the legal rate on all sums recovered Wrongful conduct; Breach of written contract; Fraud by misrepresentation; Failure to supervise and control; Violation of federal and state securities laws and statutory common law; Violation of FINRA’s rules of fair practice and NYSE’s rules; Elder abuse Breach of contract and warranties, promissory estoppel; Breach of fiduciary duty; Misrepresentations; Omissions of facts; Respondeat superior/vicarious responsibility; Violation of North Carolina Securities Act; Negligence and gross negligence; Unauthorized transactions Class S mutual funds; Class I mutual funds; Russell Global Equity, Class S; Russell Emerging Markets, Class S; Russell Multi Strategy Bond FD S; Russell Real Estate Securities CI S; Russell Quantitative Equity Fund CI S; Russell Diversified Equity FD CI S; Russell Intl. 09-05758, from Claimant Dalfotis’s Forms U-4 and U-5, and related records, based upon the standards set forth in NOtice to Members 04-16 and FINRA Rule 2080Violation ofthe Illinois Securities Law of 1953; Violation of Regulation 130.850 under the Illinois Securities Law of 1953; Violation of the Illinois Consumer Fraud and Deceptive Practices Act; Common law fraud and misrepresentation; Violations of Section 2110 Conduct Rules of the NASD; Violation of section 2120 Conduct Rules of the NASD; Violations of section 2310 Conduct Rules ofthe NASD; Violation of section 3010 Conduct Rules of the NASD; Breach of fiduciary duty; Negligence and negligent supervision; Respondeat superior Breach of contract and warranties; Promissory estoppel; Unfair trade and deceptive practices; Violations of state securities statutes; Violations of state fraud statutes; Claims under common law, including intentional and negligent misrepresentations, unjust enrichment, breach of fiduciary duty, and negligence; Secondary liability under various doctrines. Stat.; Breach of contract; Negligent misrepresentation Violations of the Virginia Securities Act and other Blue Sky statutes; Violation of the federal securities laws; Common law fraud; Breach of fiduciary duty; Negligence; Unauthorized trading; Breach of contract; Failure to supervise and negligent hiring; Violation of state, federal, FINRA, NASD, and NYSE rules and regulations; Principals of agency, vicarious liability, respondeat superior, and control person liability; Gneral equitable principles that apply in FINRA arbitrations.

,425.00); reimbursement of all FINRA hearing session fees; pre-judgment interest at the Florida statutory interest rate from the dates Claimants purchased their Schwab Yield Plus Fund securities in their accounts through the date of the arbitration award; post-award interest at the Florida statutory interest rate from the date of the arbitration award through the date of payment of the award; punitive damages Violation of Sections 10(b) and 20(a) of the Securities Exchange Act of 1934; sale of unsuitable securities; violation of the Texas Securities Act; breach of fiduciary duty; negligent failure to supervise; common law fraud0,000.00 (attorneys’ fees); ,284.00 (expenses); ,400.00 (consulting fees);

Tommerup-Arrowhead, LLCViolations of Federal Securities Laws; violation of the Securities Act of Montana; violation of the Montana Unfair Trade Practices and Consumer Protection Act; violation of Utah Securities Act; breach of contract; common law fraud; breach of fiduciary duty; negligence and gross negligence Pre-award and post-award interest at the maximum rate allowed by law from the date of the original investments; Cost of arbitration and expenses including reasonable attorneys’ fees, expert witness fees Violations of Sections 10(b) and 20(a) of the Securities Exchange Act of 1934; violations of Section 12 of the Securities Act of 1933; conversion; breach of fiduciary duty; negligent failure to supervise; common law fraud Violation of the California Corporate Securities Law; violation of California Consumer Legal Remedies Act; breach of fiduciary duty; lack of supervision; control person liability; breach of contract; fraudulent misrepresentation Negligence; breach of fiduciary duty; intentional misrepresentation; unauthorized trading; unsuitable investing; invasion of privacy; failure to supervise; intentional infliction of emotional distress; financial abuse and/or elder abuse; unfair and deceptive business practices; unlawful discrimination in violation of the Unruh Civil Rights Actnegligence; fraud, deceit and omission of material facts; breach of fiduciary duty and breach of trust; violation of FINRA rules and regulations; breach of contract and breach of implied covenant of good faith and fair dealingmisrepresentations and omissions; unsuitable investments; breach of fiduciary duty; negligence; failure of supervision; breach of contract; vicarious liability; violation of the Tennessee Securities Act and the Tennessee Consumer Protection Act; violation of FINRA rules Breach of fiduciary duty; common law fraud; misrepresentetion/non-disclosures; omissions of facts; unsuitability; breach of contract; failure to supervise; negligence; and violations of Section 10(b) of the Securities Exchange Act of 1934 and SEC rules Misrepresentations of material facts; omission of facts; negligence; churning; unsuitability; breach of fiduciary duty; fraud; failure to supervise; FINRA rule violations; Pennsylvania state law violations Reimbursement for all margin interest; commissions and fees paid by Claimants; loss of income that would have been received had Claimants’ account been managed properly; all other losses that Claimants have suffered; attorneys’ fees, costs, pre- and post-judgment interest; for all other sums to which they are entitled at law or equity.

Jay Designated Beneficiary Plan/TOD Kendal Capaz, Renee Hartmann, and Courtney King; Tom L. Rose FINRA filing fee ($1,425.00); reimbursement of all FINRA hearing session fees; pre-judgment interest at the Florida statutory interest rate from the dates Claimants purchased their Schwab Yield Plus Fund securities in their accounts through the date of the arbitration award; post-award interest at the Florida statutory interest rate from the date of the arbitration award through the date of payment of the award; punitive damages Violation of Sections 10(b) and 20(a) of the Securities Exchange Act of 1934; sale of unsuitable securities; violation of the Texas Securities Act; breach of fiduciary duty; negligent failure to supervise; common law fraud$140,000.00 (attorneys’ fees); $14,284.00 (expenses); $9,400.00 (consulting fees); $1,956.00 (court reporting fees); disgorgement of comissions; lost opportunity or market adjustment losses; costs; any additional attorneys’ fees Breach of contract; breach of fiduciary duty; unsuitability; fraudulent misrepresentation; negligence; breach of duties; violations of 15 U. Breach of written contract; Breach of fiduciary duty; Failure to supervise; negligence and gross negligence; Misrepresentation and omissions; Fraud and constructive fraud; Violation of NYSE, NASD and/or FINRA Rules; Violation of the federal securities laws Striker Partnere, DBSI Denton Court, Medical Capital, Castle Pines, Grandview Partner IRA, Spruce Heights, Santa Fe Partnere.

78 j (b) and 78 t (a), Massachusetts General Laws Chapters 110A §s 410 (a)(2), 410 (b) and 93A; agency liability; failure to supervise; respondeat superior Failure to treat the Claimant in a just and equitable manner; breach of contract; breach of fiduciary duty; negligence; negligent misrepresentations and omissions; violation of the Colorado Blue Sky Laws Breach of fiduciary duty; breach of the implied covenant of good faith and fair dealing; negligent misrepresentation; breach of contract; control person liability; violation of §2310 NASD Conduct Rules (Suitability), of NYSE Rules 405 “Know Your Customer Rules”, and the Wisconsin Administrative Code; violation of §10(B) and 20 of the Securities Exchange Act of 1934Brent R. Allan; Allan Limited Partnership; Allan Family Limited Partnership; Allan Limited Partnership FBO Children; B & B Irrevocable Trust UAD 3/21/99; Brent Allan and Deborah Allan JTWROS; Brent R. Annuity; Capital Income Builder; Income Fund of America; Federated American Leaders; Federated Market Opportunityviolations of the Florida Securities and Investor Protection Act, the Securities Act of 1934, the Securities Exchange Act of 1933, FINRA rules, and state and federal law; fraud; misrepresentation/non-disclosure; omission of facts; unsuitability; negligent supervision; breach of contract; negligence; failure to supervise; breach of fiduciary duty Breach of contract; breach of the implied covenant of good faith and fair dealing; breach of fiduciary duty; violation of FINRA Rule 2010; violation of FINRA Rule 2020; violation of NASD conduct Rule 2310; negligence; fraud or deceit; violation of section 10B-5 of the Securities and Exchange Act; violation of California Business and Professions Code Section 17200Randall A. Code §§ 8-6-17(1 )-(3) and 8-6-19(a)); control person liability; Respondeat superiorunspecified punitive; costs and forum fees; pre-award interest at the Alabama statutory interest rate from the date Claimants purchased their Schwab Yield Plus Fund securities; post-award interest at the Alabama statutory interest rate from the date of the award through the date of payment; attorneys’ fees; punitive damages; and, such other relief as the Panel deemed appropriate.

Negligence; Breach of fiduciary duty; Misrepresentation; Chuming; Unauthorized trading; Suitability; Manipulations; Statutory fraud pursuant to section 27.01 of the Texas Business & Commerce Code; Fraudulent misrepresentation; Fraud by non-disclosure Breach of fiduciary duty; Breach of written contract; Fraud by misrepresentation and omission; Failure to supervise and control; Violation of state and federal securities laws; Violation of FINRA rules of fair practice and NYSE rules Breach of contract; Breach of fiduciary duty; Violations of FINRA conduct rules; Negligence; Negligent supervision; Negligent misrepresentation and omissions; Failure to supervise; Violation of the Georgia Blue Sky Act Violations of secs. C.; Wells Fargo Institutional Securities, LLC; Wells Fargo Investments, LLCBreach of fiduciary duty; Common law fraud; Negligent misrepresentation; Elder abuse; Neglience; Violation of federal and state securities laws and NASD/FINRA rules and regulations; Constructive fraud; Violation of California’s Civil Code and Business and Professional Code; Breach of written contract; Unsuitability Disgorgement of all commissions and fees; Statutory and treble damages for elder abuse; Lost opportunity Costs; Punitive damages; Attorneys’ fees and costs; Pre and Post Judgment Interest at the legal rate on all sums recovered Wrongful conduct; Breach of written contract; Fraud by misrepresentation; Failure to supervise and control; Violation of federal and state securities laws and statutory common law; Violation of FINRA’s rules of fair practice and NYSE’s rules; Elder abuse Breach of contract and warranties, promissory estoppel; Breach of fiduciary duty; Misrepresentations; Omissions of facts; Respondeat superior/vicarious responsibility; Violation of North Carolina Securities Act; Negligence and gross negligence; Unauthorized transactions Class S mutual funds; Class I mutual funds; Russell Global Equity, Class S; Russell Emerging Markets, Class S; Russell Multi Strategy Bond FD S; Russell Real Estate Securities CI S; Russell Quantitative Equity Fund CI S; Russell Diversified Equity FD CI S; Russell Intl. 09-05758, from Claimant Dalfotis’s Forms U-4 and U-5, and related records, based upon the standards set forth in NOtice to Members 04-16 and FINRA Rule 2080Violation ofthe Illinois Securities Law of 1953; Violation of Regulation 130.850 under the Illinois Securities Law of 1953; Violation of the Illinois Consumer Fraud and Deceptive Practices Act; Common law fraud and misrepresentation; Violations of Section 2110 Conduct Rules of the NASD; Violation of section 2120 Conduct Rules of the NASD; Violations of section 2310 Conduct Rules ofthe NASD; Violation of section 3010 Conduct Rules of the NASD; Breach of fiduciary duty; Negligence and negligent supervision; Respondeat superior Breach of contract and warranties; Promissory estoppel; Unfair trade and deceptive practices; Violations of state securities statutes; Violations of state fraud statutes; Claims under common law, including intentional and negligent misrepresentations, unjust enrichment, breach of fiduciary duty, and negligence; Secondary liability under various doctrines.

Stat.; Breach of contract; Negligent misrepresentation Violations of the Virginia Securities Act and other Blue Sky statutes; Violation of the federal securities laws; Common law fraud; Breach of fiduciary duty; Negligence; Unauthorized trading; Breach of contract; Failure to supervise and negligent hiring; Violation of state, federal, FINRA, NASD, and NYSE rules and regulations; Principals of agency, vicarious liability, respondeat superior, and control person liability; Gneral equitable principles that apply in FINRA arbitrations.

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Tommerup-Arrowhead, LLCViolations of Federal Securities Laws; violation of the Securities Act of Montana; violation of the Montana Unfair Trade Practices and Consumer Protection Act; violation of Utah Securities Act; breach of contract; common law fraud; breach of fiduciary duty; negligence and gross negligence Pre-award and post-award interest at the maximum rate allowed by law from the date of the original investments; Cost of arbitration and expenses including reasonable attorneys’ fees, expert witness fees Violations of Sections 10(b) and 20(a) of the Securities Exchange Act of 1934; violations of Section 12 of the Securities Act of 1933; conversion; breach of fiduciary duty; negligent failure to supervise; common law fraud Violation of the California Corporate Securities Law; violation of California Consumer Legal Remedies Act; breach of fiduciary duty; lack of supervision; control person liability; breach of contract; fraudulent misrepresentation Negligence; breach of fiduciary duty; intentional misrepresentation; unauthorized trading; unsuitable investing; invasion of privacy; failure to supervise; intentional infliction of emotional distress; financial abuse and/or elder abuse; unfair and deceptive business practices; unlawful discrimination in violation of the Unruh Civil Rights Actnegligence; fraud, deceit and omission of material facts; breach of fiduciary duty and breach of trust; violation of FINRA rules and regulations; breach of contract and breach of implied covenant of good faith and fair dealingmisrepresentations and omissions; unsuitable investments; breach of fiduciary duty; negligence; failure of supervision; breach of contract; vicarious liability; violation of the Tennessee Securities Act and the Tennessee Consumer Protection Act; violation of FINRA rules Breach of fiduciary duty; common law fraud; misrepresentetion/non-disclosures; omissions of facts; unsuitability; breach of contract; failure to supervise; negligence; and violations of Section 10(b) of the Securities Exchange Act of 1934 and SEC rules Misrepresentations of material facts; omission of facts; negligence; churning; unsuitability; breach of fiduciary duty; fraud; failure to supervise; FINRA rule violations; Pennsylvania state law violations Reimbursement for all margin interest; commissions and fees paid by Claimants; loss of income that would have been received had Claimants’ account been managed properly; all other losses that Claimants have suffered; attorneys’ fees, costs, pre- and post-judgment interest; for all other sums to which they are entitled at law or equity. Jay Designated Beneficiary Plan/TOD Kendal Capaz, Renee Hartmann, and Courtney King; Tom L. Rose FINRA filing fee ($1,425.00); reimbursement of all FINRA hearing session fees; pre-judgment interest at the Florida statutory interest rate from the dates Claimants purchased their Schwab Yield Plus Fund securities in their accounts through the date of the arbitration award; post-award interest at the Florida statutory interest rate from the date of the arbitration award through the date of payment of the award; punitive damages Violation of Sections 10(b) and 20(a) of the Securities Exchange Act of 1934; sale of unsuitable securities; violation of the Texas Securities Act; breach of fiduciary duty; negligent failure to supervise; common law fraud$140,000.00 (attorneys’ fees); $14,284.00 (expenses); $9,400.00 (consulting fees); $1,956.00 (court reporting fees); disgorgement of comissions; lost opportunity or market adjustment losses; costs; any additional attorneys’ fees Breach of contract; breach of fiduciary duty; unsuitability; fraudulent misrepresentation; negligence; breach of duties; violations of 15 U. Breach of written contract; Breach of fiduciary duty; Failure to supervise; negligence and gross negligence; Misrepresentation and omissions; Fraud and constructive fraud; Violation of NYSE, NASD and/or FINRA Rules; Violation of the federal securities laws Striker Partnere, DBSI Denton Court, Medical Capital, Castle Pines, Grandview Partner IRA, Spruce Heights, Santa Fe Partnere. 78 j (b) and 78 t (a), Massachusetts General Laws Chapters 110A §s 410 (a)(2), 410 (b) and 93A; agency liability; failure to supervise; respondeat superior Failure to treat the Claimant in a just and equitable manner; breach of contract; breach of fiduciary duty; negligence; negligent misrepresentations and omissions; violation of the Colorado Blue Sky Laws Breach of fiduciary duty; breach of the implied covenant of good faith and fair dealing; negligent misrepresentation; breach of contract; control person liability; violation of §2310 NASD Conduct Rules (Suitability), of NYSE Rules 405 “Know Your Customer Rules”, and the Wisconsin Administrative Code; violation of §10(B) and 20 of the Securities Exchange Act of 1934Brent R. Allan; Allan Limited Partnership; Allan Family Limited Partnership; Allan Limited Partnership FBO Children; B & B Irrevocable Trust UAD 3/21/99; Brent Allan and Deborah Allan JTWROS; Brent R. Annuity; Capital Income Builder; Income Fund of America; Federated American Leaders; Federated Market Opportunityviolations of the Florida Securities and Investor Protection Act, the Securities Act of 1934, the Securities Exchange Act of 1933, FINRA rules, and state and federal law; fraud; misrepresentation/non-disclosure; omission of facts; unsuitability; negligent supervision; breach of contract; negligence; failure to supervise; breach of fiduciary duty Breach of contract; breach of the implied covenant of good faith and fair dealing; breach of fiduciary duty; violation of FINRA Rule 2010; violation of FINRA Rule 2020; violation of NASD conduct Rule 2310; negligence; fraud or deceit; violation of section 10B-5 of the Securities and Exchange Act; violation of California Business and Professions Code Section 17200Randall A. Code §§ 8-6-17(1 )-(3) and 8-6-19(a)); control person liability; Respondeat superiorunspecified punitive; costs and forum fees; pre-award interest at the Alabama statutory interest rate from the date Claimants purchased their Schwab Yield Plus Fund securities; post-award interest at the Alabama statutory interest rate from the date of the award through the date of payment; attorneys’ fees; punitive damages; and, such other relief as the Panel deemed appropriate. Negligence; Breach of fiduciary duty; Misrepresentation; Chuming; Unauthorized trading; Suitability; Manipulations; Statutory fraud pursuant to section 27.01 of the Texas Business & Commerce Code; Fraudulent misrepresentation; Fraud by non-disclosure Breach of fiduciary duty; Breach of written contract; Fraud by misrepresentation and omission; Failure to supervise and control; Violation of state and federal securities laws; Violation of FINRA rules of fair practice and NYSE rules Breach of contract; Breach of fiduciary duty; Violations of FINRA conduct rules; Negligence; Negligent supervision; Negligent misrepresentation and omissions; Failure to supervise; Violation of the Georgia Blue Sky Act Violations of secs. C.; Wells Fargo Institutional Securities, LLC; Wells Fargo Investments, LLCBreach of fiduciary duty; Common law fraud; Negligent misrepresentation; Elder abuse; Neglience; Violation of federal and state securities laws and NASD/FINRA rules and regulations; Constructive fraud; Violation of California’s Civil Code and Business and Professional Code; Breach of written contract; Unsuitability Disgorgement of all commissions and fees; Statutory and treble damages for elder abuse; Lost opportunity Costs; Punitive damages; Attorneys’ fees and costs; Pre and Post Judgment Interest at the legal rate on all sums recovered Wrongful conduct; Breach of written contract; Fraud by misrepresentation; Failure to supervise and control; Violation of federal and state securities laws and statutory common law; Violation of FINRA’s rules of fair practice and NYSE’s rules; Elder abuse Breach of contract and warranties, promissory estoppel; Breach of fiduciary duty; Misrepresentations; Omissions of facts; Respondeat superior/vicarious responsibility; Violation of North Carolina Securities Act; Negligence and gross negligence; Unauthorized transactions Class S mutual funds; Class I mutual funds; Russell Global Equity, Class S; Russell Emerging Markets, Class S; Russell Multi Strategy Bond FD S; Russell Real Estate Securities CI S; Russell Quantitative Equity Fund CI S; Russell Diversified Equity FD CI S; Russell Intl. 09-05758, from Claimant Dalfotis’s Forms U-4 and U-5, and related records, based upon the standards set forth in NOtice to Members 04-16 and FINRA Rule 2080Violation ofthe Illinois Securities Law of 1953; Violation of Regulation 130.850 under the Illinois Securities Law of 1953; Violation of the Illinois Consumer Fraud and Deceptive Practices Act; Common law fraud and misrepresentation; Violations of Section 2110 Conduct Rules of the NASD; Violation of section 2120 Conduct Rules of the NASD; Violations of section 2310 Conduct Rules ofthe NASD; Violation of section 3010 Conduct Rules of the NASD; Breach of fiduciary duty; Negligence and negligent supervision; Respondeat superior Breach of contract and warranties; Promissory estoppel; Unfair trade and deceptive practices; Violations of state securities statutes; Violations of state fraud statutes; Claims under common law, including intentional and negligent misrepresentations, unjust enrichment, breach of fiduciary duty, and negligence; Secondary liability under various doctrines. Stat.; Breach of contract; Negligent misrepresentation Violations of the Virginia Securities Act and other Blue Sky statutes; Violation of the federal securities laws; Common law fraud; Breach of fiduciary duty; Negligence; Unauthorized trading; Breach of contract; Failure to supervise and negligent hiring; Violation of state, federal, FINRA, NASD, and NYSE rules and regulations; Principals of agency, vicarious liability, respondeat superior, and control person liability; Gneral equitable principles that apply in FINRA arbitrations.

,956.00 (court reporting fees); disgorgement of comissions; lost opportunity or market adjustment losses; costs; any additional attorneys’ fees Breach of contract; breach of fiduciary duty; unsuitability; fraudulent misrepresentation; negligence; breach of duties; violations of 15 U. Breach of written contract; Breach of fiduciary duty; Failure to supervise; negligence and gross negligence; Misrepresentation and omissions; Fraud and constructive fraud; Violation of NYSE, NASD and/or FINRA Rules; Violation of the federal securities laws Striker Partnere, DBSI Denton Court, Medical Capital, Castle Pines, Grandview Partner IRA, Spruce Heights, Santa Fe Partnere. 78 j (b) and 78 t (a), Massachusetts General Laws Chapters 110A §s 410 (a)(2), 410 (b) and 93A; agency liability; failure to supervise; respondeat superior Failure to treat the Claimant in a just and equitable manner; breach of contract; breach of fiduciary duty; negligence; negligent misrepresentations and omissions; violation of the Colorado Blue Sky Laws Breach of fiduciary duty; breach of the implied covenant of good faith and fair dealing; negligent misrepresentation; breach of contract; control person liability; violation of §2310 NASD Conduct Rules (Suitability), of NYSE Rules 405 “Know Your Customer Rules”, and the Wisconsin Administrative Code; violation of §10(B) and 20 of the Securities Exchange Act of 1934Brent R. Allan; Allan Limited Partnership; Allan Family Limited Partnership; Allan Limited Partnership FBO Children; B & B Irrevocable Trust UAD 3/21/99; Brent Allan and Deborah Allan JTWROS; Brent R. Annuity; Capital Income Builder; Income Fund of America; Federated American Leaders; Federated Market Opportunityviolations of the Florida Securities and Investor Protection Act, the Securities Act of 1934, the Securities Exchange Act of 1933, FINRA rules, and state and federal law; fraud; misrepresentation/non-disclosure; omission of facts; unsuitability; negligent supervision; breach of contract; negligence; failure to supervise; breach of fiduciary duty Breach of contract; breach of the implied covenant of good faith and fair dealing; breach of fiduciary duty; violation of FINRA Rule 2010; violation of FINRA Rule 2020; violation of NASD conduct Rule 2310; negligence; fraud or deceit; violation of section 10B-5 of the Securities and Exchange Act; violation of California Business and Professions Code Section 17200Randall A. Code §§ 8-6-17(1 )-(3) and 8-6-19(a)); control person liability; Respondeat superiorunspecified punitive; costs and forum fees; pre-award interest at the Alabama statutory interest rate from the date Claimants purchased their Schwab Yield Plus Fund securities; post-award interest at the Alabama statutory interest rate from the date of the award through the date of payment; attorneys’ fees; punitive damages; and, such other relief as the Panel deemed appropriate. Negligence; Breach of fiduciary duty; Misrepresentation; Chuming; Unauthorized trading; Suitability; Manipulations; Statutory fraud pursuant to section 27.01 of the Texas Business & Commerce Code; Fraudulent misrepresentation; Fraud by non-disclosure Breach of fiduciary duty; Breach of written contract; Fraud by misrepresentation and omission; Failure to supervise and control; Violation of state and federal securities laws; Violation of FINRA rules of fair practice and NYSE rules Breach of contract; Breach of fiduciary duty; Violations of FINRA conduct rules; Negligence; Negligent supervision; Negligent misrepresentation and omissions; Failure to supervise; Violation of the Georgia Blue Sky Act Violations of secs. C.; Wells Fargo Institutional Securities, LLC; Wells Fargo Investments, LLCBreach of fiduciary duty; Common law fraud; Negligent misrepresentation; Elder abuse; Neglience; Violation of federal and state securities laws and NASD/FINRA rules and regulations; Constructive fraud; Violation of California’s Civil Code and Business and Professional Code; Breach of written contract; Unsuitability Disgorgement of all commissions and fees; Statutory and treble damages for elder abuse; Lost opportunity Costs; Punitive damages; Attorneys’ fees and costs; Pre and Post Judgment Interest at the legal rate on all sums recovered Wrongful conduct; Breach of written contract; Fraud by misrepresentation; Failure to supervise and control; Violation of federal and state securities laws and statutory common law; Violation of FINRA’s rules of fair practice and NYSE’s rules; Elder abuse Breach of contract and warranties, promissory estoppel; Breach of fiduciary duty; Misrepresentations; Omissions of facts; Respondeat superior/vicarious responsibility; Violation of North Carolina Securities Act; Negligence and gross negligence; Unauthorized transactions Class S mutual funds; Class I mutual funds; Russell Global Equity, Class S; Russell Emerging Markets, Class S; Russell Multi Strategy Bond FD S; Russell Real Estate Securities CI S; Russell Quantitative Equity Fund CI S; Russell Diversified Equity FD CI S; Russell Intl. 09-05758, from Claimant Dalfotis’s Forms U-4 and U-5, and related records, based upon the standards set forth in NOtice to Members 04-16 and FINRA Rule 2080Violation ofthe Illinois Securities Law of 1953; Violation of Regulation 130.850 under the Illinois Securities Law of 1953; Violation of the Illinois Consumer Fraud and Deceptive Practices Act; Common law fraud and misrepresentation; Violations of Section 2110 Conduct Rules of the NASD; Violation of section 2120 Conduct Rules of the NASD; Violations of section 2310 Conduct Rules ofthe NASD; Violation of section 3010 Conduct Rules of the NASD; Breach of fiduciary duty; Negligence and negligent supervision; Respondeat superior Breach of contract and warranties; Promissory estoppel; Unfair trade and deceptive practices; Violations of state securities statutes; Violations of state fraud statutes; Claims under common law, including intentional and negligent misrepresentations, unjust enrichment, breach of fiduciary duty, and negligence; Secondary liability under various doctrines. Stat.; Breach of contract; Negligent misrepresentation Violations of the Virginia Securities Act and other Blue Sky statutes; Violation of the federal securities laws; Common law fraud; Breach of fiduciary duty; Negligence; Unauthorized trading; Breach of contract; Failure to supervise and negligent hiring; Violation of state, federal, FINRA, NASD, and NYSE rules and regulations; Principals of agency, vicarious liability, respondeat superior, and control person liability; Gneral equitable principles that apply in FINRA arbitrations.

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Section 78j(b), and Rule 10b-5 promulgated thereunder; fraud New Jersey St Ed I Facs Auth Re NJ XLCA due 7/1/35; New Jersey St Ed I Facs Auth Re NJ FGIC 3.35% due 7/1/37; New Jersey St Tpk Auth Tpk Rev NJ MBIA 3.6% due 1/1/30; Salem County NJ Pollutn Ctl Fin NJ XLCA 3.5% due 11/01/33; Harris Cnty Tex Health Facs DE TX MBIA due 6/1/24Arthur B.

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