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    When liquidating stocks are commissions due

    d/b/a JHS Capital Advisors, Inc.; Pointe Capital, Inc. Garrison Survivor’s Trust; Revocable Trust of Jack and Charlotte Garrison Misrepresentetion and omission of material facts, Unsuitability; Failure to supervise; Fraud; Negligence; Breach of contract; Breach of fiduciary duty; Respondeat superior; Violation of FINRA/NASD Conduct Rules; Violation of NYSE Board Rules; Violation of the New Jersey Securities Act; Violation of the Investment Advisors Act of 1940Securities fraud; Common law fraud; Fraudulent misrepresentation and omission; Unsuitability; Overconcentration; Negligence; Breach of fiduciary duty; Breach of contract; Failure to supervise; Violations of FINRA rules Breach of contract; Breach of fiduciary duty as a broker under New York law; Breach of fiduciary duty under the Illinois Trust and Trustees Act; Breach of fiduciary duty as a De Facto Trustee under New York Law; Professional negligence; Failure to supervise; Conversion Breach of fiduciary duty; Negligence; Negligent misrepresentation; Constructive fraud; Violations of Florida’s Securities and Investor Protection Act, §§ 517.011, et seq., Fla.

    Code § 8-6-19(b); breach of fiduciary duty; inducement to hold; rescission due to mutual mistake; breach of contract Gunn Allen Financial, Inc.; Gunn Allen Holding, Inc.; GAH Holdings, LLC; Hyde Park Equity Investments, LLC; Wright Asset Management Group, Inc.; JHS Capital Holdings, Inc. 17200 (Unfair Business Practices); California Corporations Code §§ 254Failure to authenticate customer signature; Failure to supervise; Negligence; Funds disbursed without authorization; Breach of fiduciary duty; Misrepresentations, error and charges; Fraud and omission of facts: Unauthorized trading; Churning; Manipulation Breach of fiduciary duty; Professional negligence; Negligent misrepresentation; Breach of contract; Common law fraud; Deceit; Elder abuse under California Welfare and Institutions Code sections 15657.0.3; Violation of California Corporations Code section 25Misrepresentation and omissions in violation of the Securities Act of 1933, the Securities Exchange Act of 1934, and the Washington State Securities Act at RCW Section ; Breach of contract; Negligent misrepresentation; Negligence Rescission and related relief under Wisconsin Uniform Securities Law §§551.509, et. (Sewer Bonds and ARS); Negligence under Wisconsin Common Law (Sewer Bonds and ARS); Negligent supervision under Wisconsin Common Law (Sewer Bonds and ARS)Excessive and unnecessary trading on margin; False and misleading statements; Fraud; Negligent misrepresentation; Breach of fiduciary duty; Breach of covenants of good faith and fair dealing; Negligence Breach of fiduciary duty; Breach of contract; Negligence; Failure to execute; Churning; Manipulation; Misrepresentation; Omission of facts; Suitability; Negligent investment advice; Gross negligence; Violation of federal securities law Charlotte Garrison Trust FBO Mark Garrison; Charlotte Garrison Trust FBO Lesa Neugent; Charlotte L. Garrison Marital Trust; Garrison Family LLC; Jack M.

    Jay Designated Beneficiary Plan/TOD Kendal Capaz, Renee Hartmann, and Courtney King; Tom L. Rose FINRA filing fee (

    d/b/a JHS Capital Advisors, Inc.; Pointe Capital, Inc. Garrison Survivor’s Trust; Revocable Trust of Jack and Charlotte Garrison Misrepresentetion and omission of material facts, Unsuitability; Failure to supervise; Fraud; Negligence; Breach of contract; Breach of fiduciary duty; Respondeat superior; Violation of FINRA/NASD Conduct Rules; Violation of NYSE Board Rules; Violation of the New Jersey Securities Act; Violation of the Investment Advisors Act of 1940Securities fraud; Common law fraud; Fraudulent misrepresentation and omission; Unsuitability; Overconcentration; Negligence; Breach of fiduciary duty; Breach of contract; Failure to supervise; Violations of FINRA rules Breach of contract; Breach of fiduciary duty as a broker under New York law; Breach of fiduciary duty under the Illinois Trust and Trustees Act; Breach of fiduciary duty as a De Facto Trustee under New York Law; Professional negligence; Failure to supervise; Conversion Breach of fiduciary duty; Negligence; Negligent misrepresentation; Constructive fraud; Violations of Florida’s Securities and Investor Protection Act, §§ 517.011, et seq., Fla. Code § 8-6-19(b); breach of fiduciary duty; inducement to hold; rescission due to mutual mistake; breach of contract Gunn Allen Financial, Inc.; Gunn Allen Holding, Inc.; GAH Holdings, LLC; Hyde Park Equity Investments, LLC; Wright Asset Management Group, Inc.; JHS Capital Holdings, Inc. 17200 (Unfair Business Practices); California Corporations Code §§ 254Failure to authenticate customer signature; Failure to supervise; Negligence; Funds disbursed without authorization; Breach of fiduciary duty; Misrepresentations, error and charges; Fraud and omission of facts: Unauthorized trading; Churning; Manipulation Breach of fiduciary duty; Professional negligence; Negligent misrepresentation; Breach of contract; Common law fraud; Deceit; Elder abuse under California Welfare and Institutions Code sections 15657.0.3; Violation of California Corporations Code section 25Misrepresentation and omissions in violation of the Securities Act of 1933, the Securities Exchange Act of 1934, and the Washington State Securities Act at RCW Section ; Breach of contract; Negligent misrepresentation; Negligence Rescission and related relief under Wisconsin Uniform Securities Law §§551.509, et. (Sewer Bonds and ARS); Negligence under Wisconsin Common Law (Sewer Bonds and ARS); Negligent supervision under Wisconsin Common Law (Sewer Bonds and ARS)Excessive and unnecessary trading on margin; False and misleading statements; Fraud; Negligent misrepresentation; Breach of fiduciary duty; Breach of covenants of good faith and fair dealing; Negligence Breach of fiduciary duty; Breach of contract; Negligence; Failure to execute; Churning; Manipulation; Misrepresentation; Omission of facts; Suitability; Negligent investment advice; Gross negligence; Violation of federal securities law Charlotte Garrison Trust FBO Mark Garrison; Charlotte Garrison Trust FBO Lesa Neugent; Charlotte L. Garrison Marital Trust; Garrison Family LLC; Jack M. 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. Misrepresentations and omissions; Violation of the Tennessee Securities Act; Violation of the Tennessee Consumer Protection Act; Violation of NASD Conduct Rules; Negligence; Failure to supervise; Fraudulent misrepresentation; Vicarious liability Rescission; Refund of all funds transferred to Respondents; Interest on all funds entrusted to Respondents; Repayment of any costs or adverse tax consequences incurred due to the acts of Respondents; Refund of commissions paid; Attorneys’ fees and costs; any other such relief that the Panel deemed just and equitable. 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. Violations of sections 10(b) and 20(a) of the Securities Exchange Act of 1934; sale of unsuitable securities; violation of the New Jersey Uniform Securities Act; breach of fidicuciary duty; negligent failure to supervise; common law fraud Fraud; negligent misrepresentation; breach of fiduciary duty; breach of the covenants of good faith and fair dealing; negligent supervision; breach of conduct; violations of Section 20 of the 1934 Act; respondeat superior Violation of the Virginia Securities Act; violation of federal securities laws; common law fraud; breach of fiduciary duty; negligence; breach of contract; failure to supervise; violation of state, federal and FINRA rules and regulations; principles of agency, vicarious liability, respondeat superior and control person liability; violation of general equitable principles$350,000.00 (compensatory); interest; attorneys’ fees ($240,000.00); costs ($32,000.00) inclusive of expert witness fees ($17,000.00) and reimbursement of the non-refundable portion of the Claimant’s filing fee ($250.00)Difference between the value of 8,640 shares of KMP stock as of the date of the filing of the Statement of Claim and the proceeds of Fidelity’s sales of KMP stock which Mr. Lankford, First Legacy Securities, LLC, and Legacy Financial Group, Inc.; $250,000.00 (punitive) from William Slay Stevens, Ronald W. fraud, fradulent misrepresentation, deceit, violation of Massachusetts Consumer Protection Law, breach of fiduciary duty, breach of contract, breach of covenant of good faith and fair dealing, unjust enrichment Jozef Alena, Sr. Ahmann is liable and is to pay $400,000.00 in compensatory damages; Respondent Pavek Investments Inc. Breach of fiduciary duty; Fraud and misrepresentations; Negligence; Violation of Florida Securities Law; Violations of FRS § 517.07, 517.12 and 517.211 (violation of registration and licensing requirements). Cook; Richard Dennis Thayer; Ronald Wayne Lankford; Bret Lavin Benham; The Legacy Financial Group, Inc.; First Legacy Securities, LLC (a/k/a Reliance Securities, LLC); Reliance Financial Corporation; Reliance Trust Company Misrepresentations, omissions, and violations of the Alabama Securities Act; Unsuitability; Fraud; Breach of fiduciary duty; Negligence and wantonness; Breach of contract; Unjust enrichment; Vicarious liability/respondeat superior; Controlling person liability; Failure to supervise; Conspiracy; Egregiousness of conduct; and infliction of emotional distress$585,000.00 (compensatory) from William Slay Stevens, Ronald W. Biesheuvel; Securities America, Inc.; Scott Alan Bennewitz; Mark D. Miller, and Pershing, LLCaction: negligence, negligent misrepresentation, violation of Massachusetts Uniform Securities Act. Wertheim Violation of Ohio Securities Act § 1707.43; Violation of Ohio Securities Act § 1707.41; Breach of fiduciary duty; Fraud; constructive fraud; Advisor/broker negligence; Negligent misrepresentations; Breach of contract; Violation of FINRA rules; Failure of SAI and SAA to adequately supervise; Respondent superior liability Excessive and unnecessary trading; False and misleading statements; Fraud; Negligent misrepresentation; Breach of fiduciary duty and breach of the covenants of good faith and fair dealing; Negligent supervision; Respondeat superior; Breach of conduct Violation of sections 10(b) and 20(a) of the Securites Exchange Act of 1934; Sale of unsuitable securities; Violation of the Texas Securities Act; Breach of fiduciary duty; Negligence failure to supervise; Common law fraud Breach of fiduciary duty; Breach of contract; Fraud; False and misleading statements; Negligent misrepresentation; Breach of covenants of good faith and fair dealings; Negligent supervision; Respondeat superior Breach of fiduciary duty; Breach of contract; Negligence; Negligent misrepresentation; Violations of the 1933 Securities Act; Violations of the Texas Securities Act Section 33(A)(2); Violation of the Texas Securities Section 33(F)(1)Breach of fiduciary duty; Breach of contract; Negligence; Negligent misrepresentation; Violations of the 1933 Securities Act; Violations of the Texas Securities Act Section 33(A)(2); Violation of the Texas Securities Act Section 33(F)(1)Breach of fiduciary duty; Breach of contract; Unsuitability; Failure of supervise; Violations of Securities Regulatory Rules and the Alabama Securities Act; Misrepresentations; Self-dealing; Breach of the duty of good faith and fair dealing; Negligence; Failure to properly execute its duties Fraudulent/negligent misrepresentation; Fraud; Deceit; Aiding and abetting,; Negligent retention; Negligent supervision; Negligence; Breach of contract; Violations of Massachusetts Consumer Protection Act; Unjust enrichment; Breach of fiduciary duty Fraudulent misrepresentations; Fraud; Deceit; Aiding and abetting; Negligent supervision; Negligence; Breach of contract; Violations of the Pennsylvania Unfair Trade Practices Act; Unjust enrichment; Breach of fiduciary duty; Violations of federal and Pennsylvania Securities Laws Breach of contract; Breach of fiduciary duty; Unsuitability; Unauthorized purchases; Negligent misrepresentation; Violations of Section 10(b) and Rule 10b-5 of the Securites Exchange act; Conversion; Negligence; Gross negligence; Failure to supervise; Violation of Section of the Securites Act of 1933; Rescission; Fradulent inducement; Fraud Respondent James J.

    ||

    d/b/a JHS Capital Advisors, Inc.; Pointe Capital, Inc. Garrison Survivor’s Trust; Revocable Trust of Jack and Charlotte Garrison Misrepresentetion and omission of material facts, Unsuitability; Failure to supervise; Fraud; Negligence; Breach of contract; Breach of fiduciary duty; Respondeat superior; Violation of FINRA/NASD Conduct Rules; Violation of NYSE Board Rules; Violation of the New Jersey Securities Act; Violation of the Investment Advisors Act of 1940Securities fraud; Common law fraud; Fraudulent misrepresentation and omission; Unsuitability; Overconcentration; Negligence; Breach of fiduciary duty; Breach of contract; Failure to supervise; Violations of FINRA rules Breach of contract; Breach of fiduciary duty as a broker under New York law; Breach of fiduciary duty under the Illinois Trust and Trustees Act; Breach of fiduciary duty as a De Facto Trustee under New York Law; Professional negligence; Failure to supervise; Conversion Breach of fiduciary duty; Negligence; Negligent misrepresentation; Constructive fraud; Violations of Florida’s Securities and Investor Protection Act, §§ 517.011, et seq., Fla.

    Code § 8-6-19(b); breach of fiduciary duty; inducement to hold; rescission due to mutual mistake; breach of contract Gunn Allen Financial, Inc.; Gunn Allen Holding, Inc.; GAH Holdings, LLC; Hyde Park Equity Investments, LLC; Wright Asset Management Group, Inc.; JHS Capital Holdings, Inc. 17200 (Unfair Business Practices); California Corporations Code §§ 254Failure to authenticate customer signature; Failure to supervise; Negligence; Funds disbursed without authorization; Breach of fiduciary duty; Misrepresentations, error and charges; Fraud and omission of facts: Unauthorized trading; Churning; Manipulation Breach of fiduciary duty; Professional negligence; Negligent misrepresentation; Breach of contract; Common law fraud; Deceit; Elder abuse under California Welfare and Institutions Code sections 15657.0.3; Violation of California Corporations Code section 25Misrepresentation and omissions in violation of the Securities Act of 1933, the Securities Exchange Act of 1934, and the Washington State Securities Act at RCW Section ; Breach of contract; Negligent misrepresentation; Negligence Rescission and related relief under Wisconsin Uniform Securities Law §§551.509, et. (Sewer Bonds and ARS); Negligence under Wisconsin Common Law (Sewer Bonds and ARS); Negligent supervision under Wisconsin Common Law (Sewer Bonds and ARS)Excessive and unnecessary trading on margin; False and misleading statements; Fraud; Negligent misrepresentation; Breach of fiduciary duty; Breach of covenants of good faith and fair dealing; Negligence Breach of fiduciary duty; Breach of contract; Negligence; Failure to execute; Churning; Manipulation; Misrepresentation; Omission of facts; Suitability; Negligent investment advice; Gross negligence; Violation of federal securities law Charlotte Garrison Trust FBO Mark Garrison; Charlotte Garrison Trust FBO Lesa Neugent; Charlotte L. Garrison Marital Trust; Garrison Family LLC; Jack M.

    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.

    Misrepresentations and omissions; Violation of the Tennessee Securities Act; Violation of the Tennessee Consumer Protection Act; Violation of NASD Conduct Rules; Negligence; Failure to supervise; Fraudulent misrepresentation; Vicarious liability Rescission; Refund of all funds transferred to Respondents; Interest on all funds entrusted to Respondents; Repayment of any costs or adverse tax consequences incurred due to the acts of Respondents; Refund of commissions paid; Attorneys’ fees and costs; any other such relief that the Panel deemed just and equitable.

    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.

    Violations of sections 10(b) and 20(a) of the Securities Exchange Act of 1934; sale of unsuitable securities; violation of the New Jersey Uniform Securities Act; breach of fidicuciary duty; negligent failure to supervise; common law fraud Fraud; negligent misrepresentation; breach of fiduciary duty; breach of the covenants of good faith and fair dealing; negligent supervision; breach of conduct; violations of Section 20 of the 1934 Act; respondeat superior Violation of the Virginia Securities Act; violation of federal securities laws; common law fraud; breach of fiduciary duty; negligence; breach of contract; failure to supervise; violation of state, federal and FINRA rules and regulations; principles of agency, vicarious liability, respondeat superior and control person liability; violation of general equitable principles$350,000.00 (compensatory); interest; attorneys’ fees ($240,000.00); costs ($32,000.00) inclusive of expert witness fees ($17,000.00) and reimbursement of the non-refundable portion of the Claimant’s filing fee ($250.00)Difference between the value of 8,640 shares of KMP stock as of the date of the filing of the Statement of Claim and the proceeds of Fidelity’s sales of KMP stock which Mr. Lankford, First Legacy Securities, LLC, and Legacy Financial Group, Inc.; $250,000.00 (punitive) from William Slay Stevens, Ronald W. fraud, fradulent misrepresentation, deceit, violation of Massachusetts Consumer Protection Law, breach of fiduciary duty, breach of contract, breach of covenant of good faith and fair dealing, unjust enrichment Jozef Alena, Sr. Ahmann is liable and is to pay $400,000.00 in compensatory damages; Respondent Pavek Investments Inc.

    ,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);

    d/b/a JHS Capital Advisors, Inc.; Pointe Capital, Inc. Garrison Survivor’s Trust; Revocable Trust of Jack and Charlotte Garrison Misrepresentetion and omission of material facts, Unsuitability; Failure to supervise; Fraud; Negligence; Breach of contract; Breach of fiduciary duty; Respondeat superior; Violation of FINRA/NASD Conduct Rules; Violation of NYSE Board Rules; Violation of the New Jersey Securities Act; Violation of the Investment Advisors Act of 1940Securities fraud; Common law fraud; Fraudulent misrepresentation and omission; Unsuitability; Overconcentration; Negligence; Breach of fiduciary duty; Breach of contract; Failure to supervise; Violations of FINRA rules Breach of contract; Breach of fiduciary duty as a broker under New York law; Breach of fiduciary duty under the Illinois Trust and Trustees Act; Breach of fiduciary duty as a De Facto Trustee under New York Law; Professional negligence; Failure to supervise; Conversion Breach of fiduciary duty; Negligence; Negligent misrepresentation; Constructive fraud; Violations of Florida’s Securities and Investor Protection Act, §§ 517.011, et seq., Fla. Code § 8-6-19(b); breach of fiduciary duty; inducement to hold; rescission due to mutual mistake; breach of contract Gunn Allen Financial, Inc.; Gunn Allen Holding, Inc.; GAH Holdings, LLC; Hyde Park Equity Investments, LLC; Wright Asset Management Group, Inc.; JHS Capital Holdings, Inc. 17200 (Unfair Business Practices); California Corporations Code §§ 254Failure to authenticate customer signature; Failure to supervise; Negligence; Funds disbursed without authorization; Breach of fiduciary duty; Misrepresentations, error and charges; Fraud and omission of facts: Unauthorized trading; Churning; Manipulation Breach of fiduciary duty; Professional negligence; Negligent misrepresentation; Breach of contract; Common law fraud; Deceit; Elder abuse under California Welfare and Institutions Code sections 15657.0.3; Violation of California Corporations Code section 25Misrepresentation and omissions in violation of the Securities Act of 1933, the Securities Exchange Act of 1934, and the Washington State Securities Act at RCW Section ; Breach of contract; Negligent misrepresentation; Negligence Rescission and related relief under Wisconsin Uniform Securities Law §§551.509, et. (Sewer Bonds and ARS); Negligence under Wisconsin Common Law (Sewer Bonds and ARS); Negligent supervision under Wisconsin Common Law (Sewer Bonds and ARS)Excessive and unnecessary trading on margin; False and misleading statements; Fraud; Negligent misrepresentation; Breach of fiduciary duty; Breach of covenants of good faith and fair dealing; Negligence Breach of fiduciary duty; Breach of contract; Negligence; Failure to execute; Churning; Manipulation; Misrepresentation; Omission of facts; Suitability; Negligent investment advice; Gross negligence; Violation of federal securities law Charlotte Garrison Trust FBO Mark Garrison; Charlotte Garrison Trust FBO Lesa Neugent; Charlotte L. Garrison Marital Trust; Garrison Family LLC; Jack M. 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. Misrepresentations and omissions; Violation of the Tennessee Securities Act; Violation of the Tennessee Consumer Protection Act; Violation of NASD Conduct Rules; Negligence; Failure to supervise; Fraudulent misrepresentation; Vicarious liability Rescission; Refund of all funds transferred to Respondents; Interest on all funds entrusted to Respondents; Repayment of any costs or adverse tax consequences incurred due to the acts of Respondents; Refund of commissions paid; Attorneys’ fees and costs; any other such relief that the Panel deemed just and equitable. 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. Violations of sections 10(b) and 20(a) of the Securities Exchange Act of 1934; sale of unsuitable securities; violation of the New Jersey Uniform Securities Act; breach of fidicuciary duty; negligent failure to supervise; common law fraud Fraud; negligent misrepresentation; breach of fiduciary duty; breach of the covenants of good faith and fair dealing; negligent supervision; breach of conduct; violations of Section 20 of the 1934 Act; respondeat superior Violation of the Virginia Securities Act; violation of federal securities laws; common law fraud; breach of fiduciary duty; negligence; breach of contract; failure to supervise; violation of state, federal and FINRA rules and regulations; principles of agency, vicarious liability, respondeat superior and control person liability; violation of general equitable principles$350,000.00 (compensatory); interest; attorneys’ fees ($240,000.00); costs ($32,000.00) inclusive of expert witness fees ($17,000.00) and reimbursement of the non-refundable portion of the Claimant’s filing fee ($250.00)Difference between the value of 8,640 shares of KMP stock as of the date of the filing of the Statement of Claim and the proceeds of Fidelity’s sales of KMP stock which Mr. Lankford, First Legacy Securities, LLC, and Legacy Financial Group, Inc.; $250,000.00 (punitive) from William Slay Stevens, Ronald W. fraud, fradulent misrepresentation, deceit, violation of Massachusetts Consumer Protection Law, breach of fiduciary duty, breach of contract, breach of covenant of good faith and fair dealing, unjust enrichment Jozef Alena, Sr. Ahmann is liable and is to pay $400,000.00 in compensatory damages; Respondent Pavek Investments Inc. Breach of fiduciary duty; Fraud and misrepresentations; Negligence; Violation of Florida Securities Law; Violations of FRS § 517.07, 517.12 and 517.211 (violation of registration and licensing requirements). Cook; Richard Dennis Thayer; Ronald Wayne Lankford; Bret Lavin Benham; The Legacy Financial Group, Inc.; First Legacy Securities, LLC (a/k/a Reliance Securities, LLC); Reliance Financial Corporation; Reliance Trust Company Misrepresentations, omissions, and violations of the Alabama Securities Act; Unsuitability; Fraud; Breach of fiduciary duty; Negligence and wantonness; Breach of contract; Unjust enrichment; Vicarious liability/respondeat superior; Controlling person liability; Failure to supervise; Conspiracy; Egregiousness of conduct; and infliction of emotional distress$585,000.00 (compensatory) from William Slay Stevens, Ronald W. Biesheuvel; Securities America, Inc.; Scott Alan Bennewitz; Mark D. Miller, and Pershing, LLCaction: negligence, negligent misrepresentation, violation of Massachusetts Uniform Securities Act. Wertheim Violation of Ohio Securities Act § 1707.43; Violation of Ohio Securities Act § 1707.41; Breach of fiduciary duty; Fraud; constructive fraud; Advisor/broker negligence; Negligent misrepresentations; Breach of contract; Violation of FINRA rules; Failure of SAI and SAA to adequately supervise; Respondent superior liability Excessive and unnecessary trading; False and misleading statements; Fraud; Negligent misrepresentation; Breach of fiduciary duty and breach of the covenants of good faith and fair dealing; Negligent supervision; Respondeat superior; Breach of conduct Violation of sections 10(b) and 20(a) of the Securites Exchange Act of 1934; Sale of unsuitable securities; Violation of the Texas Securities Act; Breach of fiduciary duty; Negligence failure to supervise; Common law fraud Breach of fiduciary duty; Breach of contract; Fraud; False and misleading statements; Negligent misrepresentation; Breach of covenants of good faith and fair dealings; Negligent supervision; Respondeat superior Breach of fiduciary duty; Breach of contract; Negligence; Negligent misrepresentation; Violations of the 1933 Securities Act; Violations of the Texas Securities Act Section 33(A)(2); Violation of the Texas Securities Section 33(F)(1)Breach of fiduciary duty; Breach of contract; Negligence; Negligent misrepresentation; Violations of the 1933 Securities Act; Violations of the Texas Securities Act Section 33(A)(2); Violation of the Texas Securities Act Section 33(F)(1)Breach of fiduciary duty; Breach of contract; Unsuitability; Failure of supervise; Violations of Securities Regulatory Rules and the Alabama Securities Act; Misrepresentations; Self-dealing; Breach of the duty of good faith and fair dealing; Negligence; Failure to properly execute its duties Fraudulent/negligent misrepresentation; Fraud; Deceit; Aiding and abetting,; Negligent retention; Negligent supervision; Negligence; Breach of contract; Violations of Massachusetts Consumer Protection Act; Unjust enrichment; Breach of fiduciary duty Fraudulent misrepresentations; Fraud; Deceit; Aiding and abetting; Negligent supervision; Negligence; Breach of contract; Violations of the Pennsylvania Unfair Trade Practices Act; Unjust enrichment; Breach of fiduciary duty; Violations of federal and Pennsylvania Securities Laws Breach of contract; Breach of fiduciary duty; Unsuitability; Unauthorized purchases; Negligent misrepresentation; Violations of Section 10(b) and Rule 10b-5 of the Securites Exchange act; Conversion; Negligence; Gross negligence; Failure to supervise; Violation of Section of the Securites Act of 1933; Rescission; Fradulent inducement; Fraud Respondent James J.

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    d/b/a JHS Capital Advisors, Inc.; Pointe Capital, Inc. Garrison Survivor’s Trust; Revocable Trust of Jack and Charlotte Garrison Misrepresentetion and omission of material facts, Unsuitability; Failure to supervise; Fraud; Negligence; Breach of contract; Breach of fiduciary duty; Respondeat superior; Violation of FINRA/NASD Conduct Rules; Violation of NYSE Board Rules; Violation of the New Jersey Securities Act; Violation of the Investment Advisors Act of 1940Securities fraud; Common law fraud; Fraudulent misrepresentation and omission; Unsuitability; Overconcentration; Negligence; Breach of fiduciary duty; Breach of contract; Failure to supervise; Violations of FINRA rules Breach of contract; Breach of fiduciary duty as a broker under New York law; Breach of fiduciary duty under the Illinois Trust and Trustees Act; Breach of fiduciary duty as a De Facto Trustee under New York Law; Professional negligence; Failure to supervise; Conversion Breach of fiduciary duty; Negligence; Negligent misrepresentation; Constructive fraud; Violations of Florida’s Securities and Investor Protection Act, §§ 517.011, et seq., Fla.

    Code § 8-6-19(b); breach of fiduciary duty; inducement to hold; rescission due to mutual mistake; breach of contract Gunn Allen Financial, Inc.; Gunn Allen Holding, Inc.; GAH Holdings, LLC; Hyde Park Equity Investments, LLC; Wright Asset Management Group, Inc.; JHS Capital Holdings, Inc. 17200 (Unfair Business Practices); California Corporations Code §§ 254Failure to authenticate customer signature; Failure to supervise; Negligence; Funds disbursed without authorization; Breach of fiduciary duty; Misrepresentations, error and charges; Fraud and omission of facts: Unauthorized trading; Churning; Manipulation Breach of fiduciary duty; Professional negligence; Negligent misrepresentation; Breach of contract; Common law fraud; Deceit; Elder abuse under California Welfare and Institutions Code sections 15657.0.3; Violation of California Corporations Code section 25Misrepresentation and omissions in violation of the Securities Act of 1933, the Securities Exchange Act of 1934, and the Washington State Securities Act at RCW Section ; Breach of contract; Negligent misrepresentation; Negligence Rescission and related relief under Wisconsin Uniform Securities Law §§551.509, et. (Sewer Bonds and ARS); Negligence under Wisconsin Common Law (Sewer Bonds and ARS); Negligent supervision under Wisconsin Common Law (Sewer Bonds and ARS)Excessive and unnecessary trading on margin; False and misleading statements; Fraud; Negligent misrepresentation; Breach of fiduciary duty; Breach of covenants of good faith and fair dealing; Negligence Breach of fiduciary duty; Breach of contract; Negligence; Failure to execute; Churning; Manipulation; Misrepresentation; Omission of facts; Suitability; Negligent investment advice; Gross negligence; Violation of federal securities law Charlotte Garrison Trust FBO Mark Garrison; Charlotte Garrison Trust FBO Lesa Neugent; Charlotte L. Garrison Marital Trust; Garrison Family LLC; Jack M.

    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.

    Misrepresentations and omissions; Violation of the Tennessee Securities Act; Violation of the Tennessee Consumer Protection Act; Violation of NASD Conduct Rules; Negligence; Failure to supervise; Fraudulent misrepresentation; Vicarious liability Rescission; Refund of all funds transferred to Respondents; Interest on all funds entrusted to Respondents; Repayment of any costs or adverse tax consequences incurred due to the acts of Respondents; Refund of commissions paid; Attorneys’ fees and costs; any other such relief that the Panel deemed just and equitable.

    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.

    Violations of sections 10(b) and 20(a) of the Securities Exchange Act of 1934; sale of unsuitable securities; violation of the New Jersey Uniform Securities Act; breach of fidicuciary duty; negligent failure to supervise; common law fraud Fraud; negligent misrepresentation; breach of fiduciary duty; breach of the covenants of good faith and fair dealing; negligent supervision; breach of conduct; violations of Section 20 of the 1934 Act; respondeat superior Violation of the Virginia Securities Act; violation of federal securities laws; common law fraud; breach of fiduciary duty; negligence; breach of contract; failure to supervise; violation of state, federal and FINRA rules and regulations; principles of agency, vicarious liability, respondeat superior and control person liability; violation of general equitable principles$350,000.00 (compensatory); interest; attorneys’ fees ($240,000.00); costs ($32,000.00) inclusive of expert witness fees ($17,000.00) and reimbursement of the non-refundable portion of the Claimant’s filing fee ($250.00)Difference between the value of 8,640 shares of KMP stock as of the date of the filing of the Statement of Claim and the proceeds of Fidelity’s sales of KMP stock which Mr. Lankford, First Legacy Securities, LLC, and Legacy Financial Group, Inc.; $250,000.00 (punitive) from William Slay Stevens, Ronald W. fraud, fradulent misrepresentation, deceit, violation of Massachusetts Consumer Protection Law, breach of fiduciary duty, breach of contract, breach of covenant of good faith and fair dealing, unjust enrichment Jozef Alena, Sr. Ahmann is liable and is to pay $400,000.00 in compensatory damages; Respondent Pavek Investments Inc.

    ,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.

    Misrepresentations and omissions; Violation of the Tennessee Securities Act; Violation of the Tennessee Consumer Protection Act; Violation of NASD Conduct Rules; Negligence; Failure to supervise; Fraudulent misrepresentation; Vicarious liability Rescission; Refund of all funds transferred to Respondents; Interest on all funds entrusted to Respondents; Repayment of any costs or adverse tax consequences incurred due to the acts of Respondents; Refund of commissions paid; Attorneys’ fees and costs; any other such relief that the Panel deemed just and equitable.

    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.

    Violations of sections 10(b) and 20(a) of the Securities Exchange Act of 1934; sale of unsuitable securities; violation of the New Jersey Uniform Securities Act; breach of fidicuciary duty; negligent failure to supervise; common law fraud Fraud; negligent misrepresentation; breach of fiduciary duty; breach of the covenants of good faith and fair dealing; negligent supervision; breach of conduct; violations of Section 20 of the 1934 Act; respondeat superior Violation of the Virginia Securities Act; violation of federal securities laws; common law fraud; breach of fiduciary duty; negligence; breach of contract; failure to supervise; violation of state, federal and FINRA rules and regulations; principles of agency, vicarious liability, respondeat superior and control person liability; violation of general equitable principles0,000.00 (compensatory); interest; attorneys’ fees (0,000.00); costs (,000.00) inclusive of expert witness fees (,000.00) and reimbursement of the non-refundable portion of the Claimant’s filing fee (0.00)Difference between the value of 8,640 shares of KMP stock as of the date of the filing of the Statement of Claim and the proceeds of Fidelity’s sales of KMP stock which Mr. Lankford, First Legacy Securities, LLC, and Legacy Financial Group, Inc.; 0,000.00 (punitive) from William Slay Stevens, Ronald W. fraud, fradulent misrepresentation, deceit, violation of Massachusetts Consumer Protection Law, breach of fiduciary duty, breach of contract, breach of covenant of good faith and fair dealing, unjust enrichment Jozef Alena, Sr. Ahmann is liable and is to pay 0,000.00 in compensatory damages; Respondent Pavek Investments Inc.

    Brown ultimately receives from the estate related to this ,126.65 payment; attorneys’ fees and costs; reimbursement of all filing fees, forum and hearing fees; punitive damages; other costs Negligence; suitability; misrepresentation; fraud; breach of fiduciary duty; unauthorized utilization of margin; breach of contract; breach of the implied covenant of good faith and fair dealings; elder abuse Disgorgement of any commissions; lost opportunity or “well-managed portfolio” damages; statutory damages; rescissionary damages; interest (10% per annum); elder abuse damages and enhanced damages; punitive damages; costs; attorneys’ fees Breach of contract; breach of fiduciary duty; fraud, constructive fraud and fraudulent concealment; negligence; gross negligence; recklessness; willful and wanton misconduct and violation of SRO rules; failure to supervise; breach of contract accompanied by fraudulent act; state securities fraud; concentration Market losses to account that would not have occurred and any increase in value that would have occurred if the funds had been properly invested; punitive damages; pre-judgment interest at the highest legal rate; costs; attorneys’ fees Investments in Hartford Leaders Plus Variable Annuity, Hartford Director M Select Plus Variable Annuity, ING USA Annuity & Life Insurance Golden Select Premium Plus Variable Annuity, shares of American International Group, Inc. Chapman, in their capcities as trustees of the Sharon Rosen Trust created by the Marian Rosen Trust for Children #2 and Sharon Irrevocable Trust 3/1/85; Marian Rosen and Jay H. Jordan Trust Berthel, Fisher & Company Financial Services, Inc.; Thomas J.

    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.

    Breach of contract; Breach of fiduciary duty; Unsuitability; Unauthorized purchases; Violation of Section 10(b) of the Securities Exchange Act and Rule 10b-5 promulgated thereunder; Fraudulent misrepresentation and omissions; Conversion; Negligence; Gross Negligence; Failure to supervise; Recission; Declaratory judgment Conversion; Fraud; Violation of Section 10(b) of the 1934 Act, Section 12(2) of the 1933 Act, the California Corporations Code § 25400 and FINRA Conduct Rule 2120; Overtrading and excessive commissions; Unsuitability; Breach of fiduciary duty; Negligence; Negligent misrepresentation; Breach of contract; Breach of the implied covenant of good faith and fair dealing; Failure to observe high commerical standards; Failure to supervise; Respondeat superior Breach of contract; Breach of fiduciary duty; Negligence; Fraud; Unauthorized trading; Violations of FINRA rules, the Securities Exchange Act of 1934, United States Law, and Massachusetts State Law (Mass. Waid; Larry Johnson; Elizabeth Johnson; Margaret D.

    93A)Breach of fiduciary duty; Negligence; Common law fraud; Breach of contract; Violation of FINRA Conduct Rule 2110; Violation of FINRA Conduct Rule 2210(d)(1)(A); Negligent supervision; Violation of ERISAMisrepresentation and failure to disclose material facts; Violation of NASD and NYSE rules; Omissions; Breach of fiduciary duty; Constructive fraud; Breach of contract; Common law fraud; Negligence; Breach of duty to supervise; Negligent supervision; Violations of federal securities laws; Violations of Georgia law including the Georgia Securities Act; Respondeat superior Christine Seagle; Margaret Driscoll; James D.

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