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Inc.; Western Reserve Life Assurance Company of Ohiovarious mutual funds and international realty and equity funds including, CGM Focus Fund; Columbia Greater China Fund (NGCAX); Market Vectors Russia ETF Trust; Pro Shares Ultra Financials ETF; Russell 2000 2X Strategy Fund (RYIUX); Short Oil & Gas Pro Fundsecurities fraud; common law fraud; unsuitable transaction recommendations and purchases; negligence; breach of contract; breach of fiduciary duty; violations of FINRA Rules of Conduct; failure to supervise.breach of fiduciary duty; fraud and misrepresentation; negligence; violations of Corporation Code §§ 25401, 25501, and 25501.5 (California Securities Laws); violations of Corporation Code §§ 25110 et. and 25503,25504, and 25504.1 (California Securities Laws). § 581- 33; control person liability.,107.00 statutory interest; one-third of their attorneys’ fees in the amount of 3,349.00; sanctions if deemed warranted by the Panel; all FINRA costs to be assessed against Respondent Morgan Keeganfraud; violation of Section 10(b) and Rule 10b-5 of the Securities Act of 1934; violation of Section 12(2) of the Securities Act of 1933 and FINRA Conduct Rule 2120; unsuitability; breach of fiduciary duty; financial abuse of an elder; breach of contract; breach of implied covenant of good faith and fair dealing; failure to observe high commercial standards; negligent misrepresentation; failure to supervise; liability for acts and omissions pursuant to the caveat of respondeat superior.numerous securities including Advent Claymore Conv Sec & Incm Fd; Aim Val Fd CL B; Bank of America Corp Ser E Perp Cllbl; Biackrock Enhanced Dividend Achievers; Cohen & Steers Advantage Incm Realty Fd; Conagra Foods Inc.; Corporate High Yield Fd; Merrill Lynch Corp BD Fd Invst Grade Port CI B; Putnam Intermediate US Govt Incm Fd; and, Conseco High Yield Bond Fundmisrepresentations and omissions; violations under Texas Securities Act; unsuitability; breach of fiduciary duty; common law fraud; violation of SRO Rules; negligence; failure to supervise; respondeat superior; fraudulent concealment.violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10(b)(5) promulgated thereunder; common law fraud; unauthorized trading; control person liability; respondeat superior; federal and common law fraud.attorneys’ fees; interest on his mortgage in the amount of 6,635.00; principal from the Reserve Fund in the amount of ,553.00; lost business opportunity in the amount of 6,000.00; rescission of the Battery Park auction rate security purchases in the amount of

Inc.; Western Reserve Life Assurance Company of Ohiovarious mutual funds and international realty and equity funds including, CGM Focus Fund; Columbia Greater China Fund (NGCAX); Market Vectors Russia ETF Trust; Pro Shares Ultra Financials ETF; Russell 2000 2X Strategy Fund (RYIUX); Short Oil & Gas Pro Fundsecurities fraud; common law fraud; unsuitable transaction recommendations and purchases; negligence; breach of contract; breach of fiduciary duty; violations of FINRA Rules of Conduct; failure to supervise.breach of fiduciary duty; fraud and misrepresentation; negligence; violations of Corporation Code §§ 25401, 25501, and 25501.5 (California Securities Laws); violations of Corporation Code §§ 25110 et. and 25503,25504, and 25504.1 (California Securities Laws). § 581- 33; control person liability.$39,107.00 statutory interest; one-third of their attorneys’ fees in the amount of $113,349.00; sanctions if deemed warranted by the Panel; all FINRA costs to be assessed against Respondent Morgan Keeganfraud; violation of Section 10(b) and Rule 10b-5 of the Securities Act of 1934; violation of Section 12(2) of the Securities Act of 1933 and FINRA Conduct Rule 2120; unsuitability; breach of fiduciary duty; financial abuse of an elder; breach of contract; breach of implied covenant of good faith and fair dealing; failure to observe high commercial standards; negligent misrepresentation; failure to supervise; liability for acts and omissions pursuant to the caveat of respondeat superior.numerous securities including Advent Claymore Conv Sec & Incm Fd; Aim Val Fd CL B; Bank of America Corp Ser E Perp Cllbl; Biackrock Enhanced Dividend Achievers; Cohen & Steers Advantage Incm Realty Fd; Conagra Foods Inc.; Corporate High Yield Fd; Merrill Lynch Corp BD Fd Invst Grade Port CI B; Putnam Intermediate US Govt Incm Fd; and, Conseco High Yield Bond Fundmisrepresentations and omissions; violations under Texas Securities Act; unsuitability; breach of fiduciary duty; common law fraud; violation of SRO Rules; negligence; failure to supervise; respondeat superior; fraudulent concealment.violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10(b)(5) promulgated thereunder; common law fraud; unauthorized trading; control person liability; respondeat superior; federal and common law fraud.attorneys’ fees; interest on his mortgage in the amount of $326,635.00; principal from the Reserve Fund in the amount of $38,553.00; lost business opportunity in the amount of $746,000.00; rescission of the Battery Park auction rate security purchases in the amount of $1,390,000.00.breach of fiduciary and contractual duties; intentional and/or negligent misrepresentation; negligence; violations of state and federal securities laws; violations of Washington Consumer Protection Actprejudgment interest as may be allowed by law; costs, including reasonable attorneys’ fees, pursuant to statute, case law or agreement of the parties; Double damages and/or civil penalties as might be allowed pursuant to RCW breach of fiduciary duty; fraudulent misrepresentation; innocent misrepresentation; violations of Michigan Blue Sky Laws; violation of Section 10(b) of the Securities Exchange Act and SEC Rule 10B-5; breach of contract. Breach of fiduciary duty; negligent misrepresentations; common law fraud and deceit; deceptive trade practices; negligence; violations of the Texas Securities Act; violation of the Texas Business and Commercial Code; violation of § 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 promulgated thereunder; violations of §12(2) of the Securities Act of 1933; violations of §15 of the Securities Exchange Act of 1934omissions; misstatements; suitability; negligence; failure to supervise; breach of contract; breach of fiduciary duty; breach of the covenant of good faith and fair dealing; respondeat superior; violation of New York’s General Business Law Article 22-ACrowell, Weedon & Co.; Lloyd William Graham; Jay Michael Oldham; King Financial Services, Inc.; Philip Roger King; Royal Alliance Associates, Inc.; Citigroup Global Markets, Inc.; Lawrence Preston Rudermanexcessive trading; unsuitability; breach of fiduciary duty; failure to supervise; breach of cotract; negligence; goss negligence; violations of the Pennsylvania Securities Act, the UPTCPL; Section 10(b) of the Securities and Exchange Act of 1934 and Rule 10b-5 promulgated thereunder; unjust enrichment Mismanagement of Claimants’ accounts in violation of applicable standards including FINRA Rule 2310 and NYSE Rule 405; breach of fiduciary duty; professional negligence; breach of contract under common law; arbitral adjustment; violation of Florida Statutes §517.301; failure to superviseviolation of state and federal securities laws, including but not limited to, the Washington State Securities Act, RCW et seq.; violation of the rules and regualtions of the SEC, FINRA, and the Federal Reserve; breach of fiduciary duty; unauthorized trading; material misrepresentation and omission of fact; suitability; negligence and failure to disclose; failure to supervise Lionel Leitner, as trustee of the Lionel Leitner Revocable Trust account; the Lionel/Charlotte Leitner Family Trust accounts Charlotte Leitner, as trustee of the Charlotte Leitner Revocable Trust account; the Lionel/Charlotte Leitner Family Trust accounts; the Charlotte Leitner IRAVarious mutual funds and common stock including Fidelity Real Investment; Spartan 500 Index Fidelity Advantage Class; Hartford Capital Appreciation; Morgan Stanley Mid Cap Growth Portfolio; Fidelity Floating Rate High Income; AT&T; Altria Group; Megellan Midstream Partners LP; Teco Energy; Loral Space & Communicationsbreach of contract; violation of industry rules; failure to diversify; over concentration; margin violations; commercial honor and good faith; respondeat superior; failure to supervise; negligence; breach of fiduciary duty; misrepresentationfraud; misrepresentation; churning; unsuitable investing; unauthorized trading; mismangement; breach of fiduciary duty; negligence; failure to supervise; breach of good faith and fair dealing; unjust enrichmentbreach of fiduciary duty; misrepresentation; omissions and manipulative devices; violation of Sections 10(b) and 20(a) of the Exchange Act and Rule 10b-5; violations of the Connecticut Uniform Securities Act; violations of Deceptive Trade Practices Act; unsuitable account activity; common law fraud; conversion; recklessness; breach of contract; failure to superviseviolation of § 12(a)(2) of the Securities Act of 1933; violation of the Florida Securities and Investor Protection Act; breach of fiduciary duty; negligence; breach of contract; negligent misrepresentation; violation of Rule 10b-5 of the Securities Exchange Act of 1934Preferred bank stocks, including ABN Amro, Deutsche Bank, Citigroup and risky Class C mutual funds including Nationwide Mutual Funds, Columbia Fund, Hartford Mutual Funds and Transamerica Index Mutual Fundsfraud; misrepresentation; unsuitable trading; excessive trading; breach of fiduciary duty; violations of Section 10(b) of the Securities Exchange Act of 1934; the Pennsylvania Securities Act; the Pennsylvania Unfair Trade Practices and Consumer Protection Law; failure to supervise; Respondeat Superior liability; Frank Rodriguez; Susan Rodriguez, individually and on behalf of Frank Rodriguez, Alexandra Rodriguez and Andrew Rodriguez, minors; Jay and Phyllis Drossman; Henry Talerico III; Julie Talerico, individually and on behalf of James Talerico and Andrew Talerico, minors; Carmen Strollasecurities fraud; common law fraud; fraudulent misrepresentation and omission; unsuitability; breach of fiduciary duty; breach of contract; negligence; failure to supervise; violation of New York General Business Law §349interest; benefit of the bargain; lost return; well managed account damages; all other statutory damages available under New York General Business Law §349; costs; attorneys’ fees; expert’s fees; forum fees of this arbitration; Punitive damages in an amount sufficient to punish and deter any future misconduct by Respondentviolation of Section 10b of the Securities and Exchange Act of 1934 15 U. C., Section 78(j)(b), and Rule 10(b)-5 promulgated thereunder; fraud and deceit; intentional infliction of emotional distress; negligent infliction of emotional distress; intentional misrepresentation; negligent misrepresentation; negligence; breach of contract; violations of Caiifomia Corporations Code Sections 2541; breach of fiduciary dutybreach of fiduciary duty; unsuitability; recklessness; misrepresentation; omissions; fraud; negligence; failure to supervise; breach of contract; violation of New York General Business Law Article 22-A; predatory lending; violation of the Pennsylvania Unfair Trade Practices and Consumer Protection Lawunspecified punitive; interest; costs; treble damages under the Unfair Trade Practices and Consumer Protection Law; return of commissions; compensation for tax liabilities related to the forced liquidation; all in the sum of at least $4,500,000.00Jackson National Life Insurance Company; World Group Securities, Inc.; World Financial Group, Inc.; Jackson National Life Distributors, LLC; Western Reserve Partners, LLC; Nathan Rod Terrazas; Nikolaos Stylianos Plakakis; James Richard Cabral; Paula Allen; Gregory Dean Sorensen; Aegon USA Securities Inc.; AFSG Securities Corporation; Trans America Capital. Stein Violation of the Missouri Securities Act of 2003; Breach of fiduciary duty; Negligence; Fraudulent/negligent misrepresentation and fraudulent/negligent omission of material fact; Breach of FINRA (NASD and NYSE) Exchange Rules; Respondeat superior; Violation of Rule 10B-5Misrepresentation; Failure to disclose material information; Breach of contract; Failure to supervise; Violations of self-regulating organization rules, government agency regulations and state and federal laws Fraudulent misrepresentation; Breach of fiduciary duty; Negligence; Negligent misrepresentation; Violation of Tennessee Statutes; Violation of Chapter 517, Florida Statutes; Respondeat superior; Negligent supervision Violations of the Virginia Securities Act, Federal securities fraud and common law fraud and constructive fraud; Breach of fiduciary duty; Unsuitability under Virginia law, federal law, and FINRA Conduct Rules; Negligence and negligent supervision; Breach of contract; Respondeat superior/control person liability Fraud, concealment, and conspiracy to commit fraud; Breach of fiduciary duty; Breach of contract; Aiding and abetting fraud and breach of fiduciary duty; Violation of California Securities Act; Violation of NASD and NYSE Rules; Conversion Various securities including, but not limited to: USB Capital X 6.50%; Merrill Lynch & Co. ARN NDX; Federal National Mortgage Assn.; Freddie Mac New Money Ser T 6.42% Preferred; HSDC Financial Corp. Respondents FTC Capital, FTC Emerging, FTC Holdings, and Clamens are jointly and severalty liable for and shall pay to Claimant CITGO $20,725,883.00 plus postjudgment interest at the New York rate of 9% per annum from the date of this Award until this Award is paid in full. Respondents FTC Capital, FTC Emerging, FTC Holdings, and Clamens are jointly and severally liable for and shall pay to Claimant PDV $217,503.72 plus postjudgment interest at the New York rate of 9% per annum from the date of this Award until this Award is paid in full.violations of Section 10(b) of the Securities Exchange Act and Rule 10b-5, violation of Section 20(a) of the Securities Exchange Act, respondeat superior, failure to supervise, fraud, conversion, breach of fiduciary duty, negligence, unauthorized trading, failure to execute, failure to follow instructions, promissory estoppel, misrepresentations and omissions, and unjust enrichment.interest; reasonable costs and expenses of this arbitration and related litigation, including filing fees, counsel fees, and expert fees, a declaration that respondents have unjustiy enriched themselves and imposing a constructive trust to recoup the unjust benefits and other assets for the benefit of Claimants, other costs and expenses, and such other and further relief as the Panel may deem just and proper. Sears, III; Judy Strickland; Elizabeth Stein; Shana L. Jacob Joseph Taylor, Jack Joseph Csemits, David Michael Dickman, Michael William Malone. maintained by the Central Registration Depository (“CRD”); The claim, allegation, or Information is factually impossible or clearly erroneous; The claim, allegation, or infonmation is false; The registered persons were not invoh/ed in tiie alleged investinent-related sales practice violation, forgery, theft, misappropriation, or conversion of funds; Other than Forum Fees which are specified below, the parties shall each bear tiieir own costs and expenses incurred in this matterstatutory conversion; breach of fiduciary duties; breach of contract; violations of the Michigan Consumer Protection Act; liability for common law fraudulent misrepresentation and silent fraud; negligent supervisk)n; violation of federal truth in savings; and dvli conspiracy.1. 240.1 10b-5; breach of fiduciary duty under California law; deceit under California law; violation of California Corporations Code section 25400, subd. all filing fees and expert witness fees; Prejudgment and post-judgment interest at the maximum legal rate, dating from the date of the original investmentfailure to treat the Claimants in a just and equitable manner; breach of contract; breach of fiduciary duty; negligence; negligent misrepresentation and omissions; liability pursuant to Tex. In return, he will then transfer the Citigroup hybrid security that had a yield of 8.4% (“Security”) to Merrill Lynch, or in the alternative, pay a sum of not less than the value of 73,076 shares of Citigroup common stock .01 par value. s.36b-1 et seqviolation of Virginia Securities Act; breach of fiduciary duty; violation of FINRA Rule 2310/ Suitability Standards for Direct Participation Programs; violation of FINRA Rules of Fair Practice and Commercial Honor; failure to supervise; breach of contract; fraud; violation of Section 10(b) of the Securities and Exchange Act of 1934; unsuitabllity; violation of Investment Advisers Act; negligencebreach of fiduciary duty; fraud; suitability; fraudulent concealment; failure to supervise; negligence; breach of contract; respondeat superior; violations of federal and state securities laws; violations of the Texas Deceptive Trade Practices Act; violations of the Texas Insurance Code; and violations of FINRA Rules 23deferred variable annuities such as Allmerica Select, Jackson National, and Lincoln Benefit. §24-1 from July 2, 2008 until paid in full; less income earned for the three payments he received, $4,598.00; attomeys’ fees in the amount of $96,701.00;reimbursement of the $1,425.00 claim filing fee paid by Claimant to FINRA Dispute Resolution; $7,000.00 for the fees and expenses charged by the expert witness; assessment of ail forum fees to Respondent; additional attorneys’ fees in the sum of $1,354.69federal securities fraud; breach of fiduciary duty and constructive fraud; fraud and deceit; state securities fraud; negligence and negligent misrepresentation; breach of fiduciary duty; breach of contract; violation of Section 11 of the 1933 Securities Act; elder abuseunspecified punitive; Prejudgment and post-judgment interest at the maximum legal rate, dating from the date of original investment; Other relief as the Panel may deem just and proper including but not limited to filing fees, expert witness fees and attorneys’ fees, costs and expenses; Attorneys’ fees and costs pursuant to the California Elder Abuse Statute.negligence; breach of fiduciary duty; breach of contract; negligent misrepresentation; fraud and deceit (California Civil Code §§ 1572,1709, and 1710); California Business & Professions Code Section 17200 et seq.; violations of California Corporations Code §§ 2541unspecified punitive; rescission of his investments; Prejudgment interest at the Caiifomia Statutory interest rate; Post-award interest at the California Statutory interest rate from the date of award to payment; Reimbursement of Claimants Fi NRA filing fee/hearing session deposit and all hearing session fees; Arbitration costs and reasonable attorneys’ feesnegligence; breach of fiduciary duty;breach of contract; negligent misrepresentation; fraud and deceit (California Civil Code §§ 1572,1709, and 1710); Califomia Business & Professions Code § 17200 et seq.; and 7) violations of California Corporations Code §§ 2541unspecified punitive; rescission of Claimant’s investments; Prejudgment interest at the California Statutory interest rate; Post-award interest at the California Statutory interest rate from the date of award to payment; Reimbursement of Claimant’s FINRA filing fee/hearing session deposit and all hearing session fees; Arisitration costs and reasonable attorneys’ fees Specific perfonnance requiring Respondent to fulfill the binding obligation to sell and delhrer the Bond to Claimant in exchange for the purchase price; Principal and interest paid on the Bond since the settiement date; Costs and expenses, including attorneys’ fees breach of contract; conversion; theft; contribution; negligence; unfair trade practices; suitability; breach of fiduciary duty; regulatory violations; misrepresentations; failure to supervise; fraud; libel; unjust enrichment.erroneous trades; duplicate entry of stock; failure to reconcile holdings at the time it was transferred to the company; sale of non-existent stock; failure to charge account for the sale of stock that did not exist within three business days of the trade; continued oversight of the fact that Respondents were the ones that sold the non-existent stock using their discretionary rights to perform the transaction.

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Inc.; Western Reserve Life Assurance Company of Ohiovarious mutual funds and international realty and equity funds including, CGM Focus Fund; Columbia Greater China Fund (NGCAX); Market Vectors Russia ETF Trust; Pro Shares Ultra Financials ETF; Russell 2000 2X Strategy Fund (RYIUX); Short Oil & Gas Pro Fundsecurities fraud; common law fraud; unsuitable transaction recommendations and purchases; negligence; breach of contract; breach of fiduciary duty; violations of FINRA Rules of Conduct; failure to supervise.breach of fiduciary duty; fraud and misrepresentation; negligence; violations of Corporation Code §§ 25401, 25501, and 25501.5 (California Securities Laws); violations of Corporation Code §§ 25110 et. and 25503,25504, and 25504.1 (California Securities Laws). § 581- 33; control person liability.$39,107.00 statutory interest; one-third of their attorneys’ fees in the amount of $113,349.00; sanctions if deemed warranted by the Panel; all FINRA costs to be assessed against Respondent Morgan Keeganfraud; violation of Section 10(b) and Rule 10b-5 of the Securities Act of 1934; violation of Section 12(2) of the Securities Act of 1933 and FINRA Conduct Rule 2120; unsuitability; breach of fiduciary duty; financial abuse of an elder; breach of contract; breach of implied covenant of good faith and fair dealing; failure to observe high commercial standards; negligent misrepresentation; failure to supervise; liability for acts and omissions pursuant to the caveat of respondeat superior.numerous securities including Advent Claymore Conv Sec & Incm Fd; Aim Val Fd CL B; Bank of America Corp Ser E Perp Cllbl; Biackrock Enhanced Dividend Achievers; Cohen & Steers Advantage Incm Realty Fd; Conagra Foods Inc.; Corporate High Yield Fd; Merrill Lynch Corp BD Fd Invst Grade Port CI B; Putnam Intermediate US Govt Incm Fd; and, Conseco High Yield Bond Fundmisrepresentations and omissions; violations under Texas Securities Act; unsuitability; breach of fiduciary duty; common law fraud; violation of SRO Rules; negligence; failure to supervise; respondeat superior; fraudulent concealment.violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10(b)(5) promulgated thereunder; common law fraud; unauthorized trading; control person liability; respondeat superior; federal and common law fraud.attorneys’ fees; interest on his mortgage in the amount of $326,635.00; principal from the Reserve Fund in the amount of $38,553.00; lost business opportunity in the amount of $746,000.00; rescission of the Battery Park auction rate security purchases in the amount of $1,390,000.00.breach of fiduciary and contractual duties; intentional and/or negligent misrepresentation; negligence; violations of state and federal securities laws; violations of Washington Consumer Protection Actprejudgment interest as may be allowed by law; costs, including reasonable attorneys’ fees, pursuant to statute, case law or agreement of the parties; Double damages and/or civil penalties as might be allowed pursuant to RCW breach of fiduciary duty; fraudulent misrepresentation; innocent misrepresentation; violations of Michigan Blue Sky Laws; violation of Section 10(b) of the Securities Exchange Act and SEC Rule 10B-5; breach of contract.

Breach of fiduciary duty; negligent misrepresentations; common law fraud and deceit; deceptive trade practices; negligence; violations of the Texas Securities Act; violation of the Texas Business and Commercial Code; violation of § 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 promulgated thereunder; violations of §12(2) of the Securities Act of 1933; violations of §15 of the Securities Exchange Act of 1934omissions; misstatements; suitability; negligence; failure to supervise; breach of contract; breach of fiduciary duty; breach of the covenant of good faith and fair dealing; respondeat superior; violation of New York’s General Business Law Article 22-ACrowell, Weedon & Co.; Lloyd William Graham; Jay Michael Oldham; King Financial Services, Inc.; Philip Roger King; Royal Alliance Associates, Inc.; Citigroup Global Markets, Inc.; Lawrence Preston Rudermanexcessive trading; unsuitability; breach of fiduciary duty; failure to supervise; breach of cotract; negligence; goss negligence; violations of the Pennsylvania Securities Act, the UPTCPL; Section 10(b) of the Securities and Exchange Act of 1934 and Rule 10b-5 promulgated thereunder; unjust enrichment Mismanagement of Claimants’ accounts in violation of applicable standards including FINRA Rule 2310 and NYSE Rule 405; breach of fiduciary duty; professional negligence; breach of contract under common law; arbitral adjustment; violation of Florida Statutes §517.301; failure to superviseviolation of state and federal securities laws, including but not limited to, the Washington State Securities Act, RCW et seq.; violation of the rules and regualtions of the SEC, FINRA, and the Federal Reserve; breach of fiduciary duty; unauthorized trading; material misrepresentation and omission of fact; suitability; negligence and failure to disclose; failure to supervise Lionel Leitner, as trustee of the Lionel Leitner Revocable Trust account; the Lionel/Charlotte Leitner Family Trust accounts Charlotte Leitner, as trustee of the Charlotte Leitner Revocable Trust account; the Lionel/Charlotte Leitner Family Trust accounts; the Charlotte Leitner IRAVarious mutual funds and common stock including Fidelity Real Investment; Spartan 500 Index Fidelity Advantage Class; Hartford Capital Appreciation; Morgan Stanley Mid Cap Growth Portfolio; Fidelity Floating Rate High Income; AT&T; Altria Group; Megellan Midstream Partners LP; Teco Energy; Loral Space & Communicationsbreach of contract; violation of industry rules; failure to diversify; over concentration; margin violations; commercial honor and good faith; respondeat superior; failure to supervise; negligence; breach of fiduciary duty; misrepresentationfraud; misrepresentation; churning; unsuitable investing; unauthorized trading; mismangement; breach of fiduciary duty; negligence; failure to supervise; breach of good faith and fair dealing; unjust enrichmentbreach of fiduciary duty; misrepresentation; omissions and manipulative devices; violation of Sections 10(b) and 20(a) of the Exchange Act and Rule 10b-5; violations of the Connecticut Uniform Securities Act; violations of Deceptive Trade Practices Act; unsuitable account activity; common law fraud; conversion; recklessness; breach of contract; failure to superviseviolation of § 12(a)(2) of the Securities Act of 1933; violation of the Florida Securities and Investor Protection Act; breach of fiduciary duty; negligence; breach of contract; negligent misrepresentation; violation of Rule 10b-5 of the Securities Exchange Act of 1934Preferred bank stocks, including ABN Amro, Deutsche Bank, Citigroup and risky Class C mutual funds including Nationwide Mutual Funds, Columbia Fund, Hartford Mutual Funds and Transamerica Index Mutual Fundsfraud; misrepresentation; unsuitable trading; excessive trading; breach of fiduciary duty; violations of Section 10(b) of the Securities Exchange Act of 1934; the Pennsylvania Securities Act; the Pennsylvania Unfair Trade Practices and Consumer Protection Law; failure to supervise; Respondeat Superior liability; Frank Rodriguez; Susan Rodriguez, individually and on behalf of Frank Rodriguez, Alexandra Rodriguez and Andrew Rodriguez, minors; Jay and Phyllis Drossman; Henry Talerico III; Julie Talerico, individually and on behalf of James Talerico and Andrew Talerico, minors; Carmen Strollasecurities fraud; common law fraud; fraudulent misrepresentation and omission; unsuitability; breach of fiduciary duty; breach of contract; negligence; failure to supervise; violation of New York General Business Law §349interest; benefit of the bargain; lost return; well managed account damages; all other statutory damages available under New York General Business Law §349; costs; attorneys’ fees; expert’s fees; forum fees of this arbitration; Punitive damages in an amount sufficient to punish and deter any future misconduct by Respondentviolation of Section 10b of the Securities and Exchange Act of 1934 15 U. C., Section 78(j)(b), and Rule 10(b)-5 promulgated thereunder; fraud and deceit; intentional infliction of emotional distress; negligent infliction of emotional distress; intentional misrepresentation; negligent misrepresentation; negligence; breach of contract; violations of Caiifomia Corporations Code Sections 2541; breach of fiduciary dutybreach of fiduciary duty; unsuitability; recklessness; misrepresentation; omissions; fraud; negligence; failure to supervise; breach of contract; violation of New York General Business Law Article 22-A; predatory lending; violation of the Pennsylvania Unfair Trade Practices and Consumer Protection Lawunspecified punitive; interest; costs; treble damages under the Unfair Trade Practices and Consumer Protection Law; return of commissions; compensation for tax liabilities related to the forced liquidation; all in the sum of at least $4,500,000.00Jackson National Life Insurance Company; World Group Securities, Inc.; World Financial Group, Inc.; Jackson National Life Distributors, LLC; Western Reserve Partners, LLC; Nathan Rod Terrazas; Nikolaos Stylianos Plakakis; James Richard Cabral; Paula Allen; Gregory Dean Sorensen; Aegon USA Securities Inc.; AFSG Securities Corporation; Trans America Capital.

,390,000.00.breach of fiduciary and contractual duties; intentional and/or negligent misrepresentation; negligence; violations of state and federal securities laws; violations of Washington Consumer Protection Actprejudgment interest as may be allowed by law; costs, including reasonable attorneys’ fees, pursuant to statute, case law or agreement of the parties; Double damages and/or civil penalties as might be allowed pursuant to RCW breach of fiduciary duty; fraudulent misrepresentation; innocent misrepresentation; violations of Michigan Blue Sky Laws; violation of Section 10(b) of the Securities Exchange Act and SEC Rule 10B-5; breach of contract.

Breach of fiduciary duty; negligent misrepresentations; common law fraud and deceit; deceptive trade practices; negligence; violations of the Texas Securities Act; violation of the Texas Business and Commercial Code; violation of § 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 promulgated thereunder; violations of §12(2) of the Securities Act of 1933; violations of §15 of the Securities Exchange Act of 1934omissions; misstatements; suitability; negligence; failure to supervise; breach of contract; breach of fiduciary duty; breach of the covenant of good faith and fair dealing; respondeat superior; violation of New York’s General Business Law Article 22-ACrowell, Weedon & Co.; Lloyd William Graham; Jay Michael Oldham; King Financial Services, Inc.; Philip Roger King; Royal Alliance Associates, Inc.; Citigroup Global Markets, Inc.; Lawrence Preston Rudermanexcessive trading; unsuitability; breach of fiduciary duty; failure to supervise; breach of cotract; negligence; goss negligence; violations of the Pennsylvania Securities Act, the UPTCPL; Section 10(b) of the Securities and Exchange Act of 1934 and Rule 10b-5 promulgated thereunder; unjust enrichment Mismanagement of Claimants’ accounts in violation of applicable standards including FINRA Rule 2310 and NYSE Rule 405; breach of fiduciary duty; professional negligence; breach of contract under common law; arbitral adjustment; violation of Florida Statutes §517.301; failure to superviseviolation of state and federal securities laws, including but not limited to, the Washington State Securities Act, RCW et seq.; violation of the rules and regualtions of the SEC, FINRA, and the Federal Reserve; breach of fiduciary duty; unauthorized trading; material misrepresentation and omission of fact; suitability; negligence and failure to disclose; failure to supervise Lionel Leitner, as trustee of the Lionel Leitner Revocable Trust account; the Lionel/Charlotte Leitner Family Trust accounts Charlotte Leitner, as trustee of the Charlotte Leitner Revocable Trust account; the Lionel/Charlotte Leitner Family Trust accounts; the Charlotte Leitner IRAVarious mutual funds and common stock including Fidelity Real Investment; Spartan 500 Index Fidelity Advantage Class; Hartford Capital Appreciation; Morgan Stanley Mid Cap Growth Portfolio; Fidelity Floating Rate High Income; AT&T; Altria Group; Megellan Midstream Partners LP; Teco Energy; Loral Space & Communicationsbreach of contract; violation of industry rules; failure to diversify; over concentration; margin violations; commercial honor and good faith; respondeat superior; failure to supervise; negligence; breach of fiduciary duty; misrepresentationfraud; misrepresentation; churning; unsuitable investing; unauthorized trading; mismangement; breach of fiduciary duty; negligence; failure to supervise; breach of good faith and fair dealing; unjust enrichmentbreach of fiduciary duty; misrepresentation; omissions and manipulative devices; violation of Sections 10(b) and 20(a) of the Exchange Act and Rule 10b-5; violations of the Connecticut Uniform Securities Act; violations of Deceptive Trade Practices Act; unsuitable account activity; common law fraud; conversion; recklessness; breach of contract; failure to superviseviolation of § 12(a)(2) of the Securities Act of 1933; violation of the Florida Securities and Investor Protection Act; breach of fiduciary duty; negligence; breach of contract; negligent misrepresentation; violation of Rule 10b-5 of the Securities Exchange Act of 1934Preferred bank stocks, including ABN Amro, Deutsche Bank, Citigroup and risky Class C mutual funds including Nationwide Mutual Funds, Columbia Fund, Hartford Mutual Funds and Transamerica Index Mutual Fundsfraud; misrepresentation; unsuitable trading; excessive trading; breach of fiduciary duty; violations of Section 10(b) of the Securities Exchange Act of 1934; the Pennsylvania Securities Act; the Pennsylvania Unfair Trade Practices and Consumer Protection Law; failure to supervise; Respondeat Superior liability; Frank Rodriguez; Susan Rodriguez, individually and on behalf of Frank Rodriguez, Alexandra Rodriguez and Andrew Rodriguez, minors; Jay and Phyllis Drossman; Henry Talerico III; Julie Talerico, individually and on behalf of James Talerico and Andrew Talerico, minors; Carmen Strollasecurities fraud; common law fraud; fraudulent misrepresentation and omission; unsuitability; breach of fiduciary duty; breach of contract; negligence; failure to supervise; violation of New York General Business Law §349interest; benefit of the bargain; lost return; well managed account damages; all other statutory damages available under New York General Business Law §349; costs; attorneys’ fees; expert’s fees; forum fees of this arbitration; Punitive damages in an amount sufficient to punish and deter any future misconduct by Respondentviolation of Section 10b of the Securities and Exchange Act of 1934 15 U. C., Section 78(j)(b), and Rule 10(b)-5 promulgated thereunder; fraud and deceit; intentional infliction of emotional distress; negligent infliction of emotional distress; intentional misrepresentation; negligent misrepresentation; negligence; breach of contract; violations of Caiifomia Corporations Code Sections 2541; breach of fiduciary dutybreach of fiduciary duty; unsuitability; recklessness; misrepresentation; omissions; fraud; negligence; failure to supervise; breach of contract; violation of New York General Business Law Article 22-A; predatory lending; violation of the Pennsylvania Unfair Trade Practices and Consumer Protection Lawunspecified punitive; interest; costs; treble damages under the Unfair Trade Practices and Consumer Protection Law; return of commissions; compensation for tax liabilities related to the forced liquidation; all in the sum of at least ,500,000.00Jackson National Life Insurance Company; World Group Securities, Inc.; World Financial Group, Inc.; Jackson National Life Distributors, LLC; Western Reserve Partners, LLC; Nathan Rod Terrazas; Nikolaos Stylianos Plakakis; James Richard Cabral; Paula Allen; Gregory Dean Sorensen; Aegon USA Securities Inc.; AFSG Securities Corporation; Trans America Capital.

Respondents are jointly and severally liable for and shall pay to Claimant compensatory damages in the amount of ,000.00. Respondents are jointly and severally liable for and shall pay to Claimant interest on the aforementioned award of ,000.00 at the legal rate of 10% per annum accruing from April 1, 2008 through the date of the award, defined as the date the award is executed by the last of the aribitrators to sign the award. Respondent Wedbush is solely liable for and shall pay to Claimant expert witness costs in the amount of ,500.00. Respondent Wedbush is solely liable for and shall pay to Claimant the sum of 0.00 as reimbursement for the non-refundable portion of the Initial Claim filing fee previously paid by Claimant to FINRA1) violation of Section 10(b) of the Exchange Act and Rule 10b-5 (Anti-fraud provision); 2) negligence; 3) breach of fiduciary duty; 4) churning; 5) failure to supervise; 6) breach of contract; 7) unsuitable trading; and 8) violation of FINRA.Colley and La Nita Colley, the sum of ,000.00 in costs; and 3.) Any relief not specifically enumerated, including punitive damages and attorneys’ fees, is hereby denied with prejudicebreach of fiduciary duty; breach of contract; unsuitability; failure to supervise; violations of securities regulatory rules; violations of Texas Securities Act; intentional and negligent misrepresentation of material facts; and common law claims for unjust enrichment, breach of duty of good faith and fair dealing, and gross negligence.1. Dudley’s record should be expunged in the interest of justice; Any and all relief not specifically addressed herein, including punitive damages, is denied.1) fraud; 2) negligent misrepresentation; 3) breach of fiduciary duty; 4) failure to supervise in violation of NASD Conduct Rule 3010; 5) respondeat superior liability; 6) controlling person liability; 7) breach of contract; and 8) negligent infliction of emotional distress; 1) underwriter liability; and 2) conspiracy to evade or violate the Securities Act of 1933 as amended. Parties agreed that Dudley was not involved at all; Dudley was erroneously named as a party in the original proceeding; Dudley had no direct or indirect participation in the facts and circumstances stated in the Statement of Claim.

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Pitsch Reynolds, Individually and as Trustee of the Reynolds Living Trust U/A 6/14/03 and as Trustee of the 403-Bplan FBO Susan H. C law, federal law, and FINRA Conduct Rules; negligence; breach of contract; control person liability; negligent supervision.fraud; intentional misrepresentation; violation of FINRA Conduct Rules 20; violation of Cal. Code §§ 25400; Section 10(b) and Rule 10b-5 promulgated thereunder of the 1934 Act; negligence and negligent misrepresentation; breach of fiduciary duty; failure to supervise in violation of FINRA Rule 3010; elder abuseunsuitable investment; unauthorized transactions; negligent account management; misrepresentations and omissions; violations of the Indiana Securities Act and Regulations thereunder; violations of FINRA/NASD Conduct Rules; breach of contract; breach of fiduciary duty/constructive fraud; respondeat superior; negligence and negligent supervision; conversion Vanguard Total Stock Maricet ETF and mutual funds including Threadneedle International Opportunity Fund, RVS Diversified Equity Fund, RVS Disciplined Equity Fund, and RVS Dividend Opportunity Fund, unspecified equities and in cash-equivalentunsuitability; breach of fiduciary duty; fraudulent misrepresentation; failure to supervise; respondeat superior; negligent misrepresentation; unauthorized trading; negligence; fraud; violations of Florida Statute Chapter 517; churning; violations of SEC Rule 15(g); control person liabilitybreach of contract; unauthorized trading; unsuitability; churning; fraud; misrepresentations and omissions; breach of fiduciary duty obligations; negligence; negligent misrepresentations; failure to supervisenegligence; suitability violations; Arizona Securities Act violations; breach of fiduciary duty; breach of contract and breach of the implied duty of good faith and fair dealing; negligent misrepresentation; respondeat superior and negligent supervisionbreach of fiduciary duty against all Respondents; breach of contract against Respondent Schwab; misrepresentations against all Respondents; negligent misrepresentations against all Respondents; respondeat superior against Respondent Schwab; violation of section 11 of the 1933 Act against Respondent Schwab Breach of fiduciary duty; Unsuitable recommendations and trading; Breach of contract and breach of warranty; Excessive trading and churning; Fraud; Deceit and misrepresentation; Negligence and gross negligence; Failure to supervise Rescissionary damages; Out-of-pocket losses; Punitive damages; Disgorgement of compensation; Forum fees and administrative fees; Costs; Expert witness fees and other witness fees; Attorney’s’ fees; Other equitable relief Settled with The Investment Center and Securities America; PGP Financial and Cali are jointly and severally liable; Granite Securities, Obsidian Financial and Cali are jointly and severally liable; Cali’s request for expungement is denied; Punitive damages are denied Violation of California Corporations Code § 25401; Intentional breach of fiduciary duty; Negligent breach of fiduciary duty; Intentional breach of fiduciary duty (supervision); Negligent breach of fiduciary duty (supervision)Breach of fiduciary duty; Material misrepresentations; Omissions; Fair dealing; Negligent misrepresentation; Gross negligence; Common law fraud; Respondeat superior; Violation of federal securities laws; Violation of Texas Securities Act Violation fo the 1934 Act Anti-Fraud rules; Violation of sections 12 and 17 of the Securities Act of 1933; Violations of Michigan Blue Sky law; Fraudulent misrepresentation; Negligent misrepresentation and silent fraud; Breach of common law fiduciary duty Breach of fiduciary duty; Aiding and abetting breach of fiduciary duty; Negligence; Negligent supervision against E*Trade, LLC; Negligent misrepresentation; Breach of conract; Breach of implied covenant fo good faith and fair dealing; Violation of section 12(a)(2) fo the Securities Act; Violation of Massachusetts Uniform Securities Act; Respondeat superior; Common law fraud; Violation of the Massachusetts Consumer Protection Act$467,717 – $594,890 (compensatory damages for Claimant Knicley); $319,048 – $552,698 (compensatory damages for Claimant Krause); $391,477 – $606,236 (compensatory damages for Claimant Leo); $259,130 – $434,747 (compensatory damages for Mielnicki)Violation of FINRA Rules of Fair Practice; Violation of Section 20 of the Securities Exchange Act; Violation of Section 10 of the Securities Exchange Act; Violation of regulation prohibiting manipulative and deceptive devices; Violation of regulation requiring disclosure of credit terms in margin transactions; Violation of the Alaska Securities Act; Breach of fiduciary duty; Proffessional negligence; Negligent and/or intentional misrepresentation Robyn Reagan-O’Hara; Paula Branum; Penson Worldwide, Inc.; Penson Financial Services, Inc.; SAMCO Financial Services, Inc.; SAMCO Capital Markets, Inc.; Regal Securities, Inc.; Colby & White, LP; WFG Investments, Inc.; Willard Henry White, Jr.; James Milton Townsend Unsuitability; Misrepresentation; Fraud; Unauthorized trading; Failure to supervise; Churning; Negligence; Forgery; Breach of fiduciary duty; Breach of contract; Violations of FINRA and Securities and Exchange Commission Rules Recommendation and purchase of five mutual fund products including: Fidelity High Income Advantage A; Franklin Income A; Loomis Sayles Strategic Income A; Oppenheimer International Bond A; Pimco Total Return DBreach of fiduciary duty; Lack of suitability; Intentional misrepresentation; Failure to supervise; Breach of contract; Negligence; Omission of facts; Fraud; Violation of Pennsylvania consumer protection laws; Violation of the Pennsylvania Securities Act Breach of contract; Common law fraud and misrepresentation; Statutory fraud and misrepresentation; Unsuitability; Overconcentration in financial preferred shares; Improper switching of mutual funds in order to earn fees Fraud; Intentional misrepresentation/omission; Negligent misrepresentaiton/omission; Breach of fiduciary duty; Violation of Massachusetts Securities Act; Violation of Massachusetts Deceptive Trade Practices Act, Violation of Section 10(b) of the Federal Securities Act of 1934; Unjust enrichment; Civil conspiracy; Negligence; Negligent supervision; Respondeat superior Violations of Federal Securities Laws; Violations of California Securities Laws; Violation of California’s Financial Elder Abuse Law; California Unfair, Unlawful, and Fradulent Business Practices; Breach of contract; Common law fraud; Breach of fiduciary duty; Negligence and Gross negligence Investment in various funds, including but not limited to: Evergreen Asset Allocation Fund; Eaton Vance Limited Duration Fund; Nuveen Equity Premium and Growth Fund; a 1035 exchange of a Metlife variable annuity for a Merrill Lynch Investor Choice annuity; Advent Claymore Global Securities and Income Fund DAIC is liable; AIC and Frey are jointly and severally liable; Claimaint’s claims against Respondents Dunham Trust and Capizzi are dismissed with prejudice; Recommended expungement for Respondent Capizzi Violation of section 17(a)(1) of the Securities Exchange Act of 1934; SEC Rule 17a-4; FINRA conduct rules 33; Violation of section 10(b) fo the Securities Exchange Act of 1934 and Rule 10b-5; Aiding and abetting violations of section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5; Breach of fiduciary duty; Fraudulent misrepresentation; Violations of Michigan Blue Sky Laws; Conversion; Unjust enrichment; Negligence; Breach of contract Negligence; Breach of fiduciary duty; Breach of contract; Fraud and deceit under California Civil Code §§ 1572, 1709, and 1710 and California Law; Violations of California Corporations Code §§ 1541Breach of fiduciary duty; Breach of contract; Unsuitability; Failure to supervise; Violations of securities regulatory rules; Violations fo the Louisiana Securities Act; Violations fo the Louisiana Unfair Trade Practices Act; Common law claims Richard R. Respondent’s request for expungement of the CRD record of non-party Soby is denied. 2009), are denied.failure to execute instructions; breach of contract; breach of fiduciary duty; negligence; gross negligence; recklessness,; willful and wanton misconduct; violation of SRO rules; negligent misrepresentation; failure to supervise; fraud; constructive fraud and fraudulent concealment; breach of contract accompanied by fraudulent intent; state securities fraud.1.

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