Source: http://soft-rozdacha.ru/tags?/portfolio/8096dorathy-kahn-dating-scammer.html
Timestamp: 2019-04-20 20:56:34+00:00

Document:
Madoff Investment Services, LLCviolation of Sections 10(b) and 20(a) of the 1934 Act [14 U. ) Claimant’s claims, each and all, are hereby denied and dismissed with prejudice; 2.
6.36% Preferred; Lehman Brothers Holdings Preferred Stock 6.50% Perpetual; Morgan Stanley Cap VIII 6.45%Breach of fiduciary duty; Breach of contract; Unsuitability; Violations of Securities Regulatory Rules; Violations of the Alabama Securities Act; Intentional and negligent misrepresentation; Omission of material facts; Breach of duty of good faith and fair dealing; Gross negligence Breach of fiduciary duty; Breach of contract; Unsuitability; Violation of Securities Regulatory Rules; Violation of the Alabama Securities Act; Intentional and negligent misrepresentation; Omission of material facts; Wrongful self-dealing actions; Breach of duty of good faith and fair dealing; Failure to properly execute duties; Gross negligence Breach of fiduciary responsibility; Egregious omission of material facts and risks; Misleading disclosure; Unsuitability; Unfair dealing and misrepresentation with regard to lottery; Failure to make full disclosure and timely, accurate notiification; Failure to supervise Misrepresentations and omissions; Violation of the Indiana Securities Act; Breach of fiduciary duty; Violation of NASD Conduct Rules; Negligence; Failure of supervision; Breach of contract; Fraudulent misrepresentation; Vicarious liabilitybreach of fiduciary duty; breach of contract; unsuitability; failure to supervise; violation of Securities Regulatory Rules; intentional and negligent misrepresentation of material facts; wrongful self-dealing actions; breach of duty of good faith and fair dealing; gross negligence; failure to properly execute dutiesnegligent misrepresentation; fraud and intentional misrepresentation and/or omissions; failure to supervise; breach of fiduciary duty; unsuitable transactions; unauthorized transactions; elder abuse; breach of contract Mont Yale Large Cap Growth Qualified Fund; the Mont Yale Small Cap Qualified Fund; Johnston Asset Management International Equity Fund; Kinetics Advisers Institutional Partners; Rye Select Broad Market Fund, a “feeder fund” for a fund managed by Bernard L. The Panel recommends the expungement of all reference to the above captioned arbitration from unnamed party Thomas Sawyer’s (CRD #3212424) records maintained by the Central Registration Depository (“CRD”); The claim, allegation, or information is factually impossible or clearly erroneous; and The claim, allegation, or information is false; The Panel recommends the expungement of all reference to the above captioned arbitration from unnamed party Perry Gralitzer’s (CRD #2654913) records maintained by the Central Registration Depository (“CRD”); The claim, allegation, or information is factually impossible or clearly erroneous; and The claim, allegation, or information is false.1.
Dudley’s registration records maintained by the Central Registration Depository (“CRD”), The claim, allegation, or information is factually impossible or clearly erroneous; Dudley was improperly named in the original complaint.
(d); violation of California Corporations Code section 25401; negligence; unauthorized trading Misrepresentations and omissions; breach of fiduciary duty; unsuitable investments; negligence; failure to supervise; breach of contract; vicarious liability; violation of FINRA rules; violation of the Securities and Exchange Act Breach of fiduciary duty; negligence; breach of contract; violation of the Illinois Consumer Fraud and Deceptive Practices Act; violation of FINRA Conduct Rules 2310: unsuitability and 3010: failure to supervise; violations of 10(b) of the Securities Exchange Act and Rule 10b-5negligence; breach of contract; common law fraud; breach of fiduciary duty; unsuitability; failure to supervise; violation of industry rules; negligent hiring, retention and supervision; misrepresentations/ommissions; failure to diversify Rosemary M. In return he will then transfer the Security to Merrill Lynch; Costs; Attorney’s fees; Statutory interest from 4/28/2009 to dateauction rate securities, including, but not limited to, Blackrock Califomia Municipal Income Trust, Blackrock Muni Yield California Insured, Pimco California Municipal Income Fund l I, and Pimco Califomia Municipal Income Fund.misrepresentation; omission; mismanagement; breach of contract; negligence; breach of fiduciary duty; violation of the Indiana Securities Act and Regulations; violations of the FINRA Conduct Rules and NYSE Rules; respondeat superior; negligent supervision; common law fraud; conversionviolations of federal securities law; violations of West Virginia securities law; violations of the West Virginia Consumer Protection Act; violations of West Virginia common law; violation of FINRA and NYSE Rules; negligence; breach of fiduciary duty; respondeat superior; breach of contract; fraud.failure to supervise;negligence; misrepresentations; negligent representations; omission of material facts; violations of FINRA rules, federal securities laws, the Washington State Securities Act (RCW 21.20 et seq.), and the state of Washington Consumer Protection Act (RCW 19.86 et seq.).,000.00 statutory damages pursuant to the state of Washington Consumer Protection Act; Pre-judgment and post-judgment interest at the rate of 8% pursuant to the Washington State Securities Act; Costs, including expert fees, and attorneys’ fees as allowed by contract, equity, or statute.breach of fiduciary duty; breach of contract; violations of the Texas Securities Act; fraud; negligent misrepresentation; negligence; failure to supervise; violations of NYSE Rule 405 and FINRA Rule 2310; direct and vicarious liabilityviolation of the Virginia Securities Act, federal securities fraud, common law fraud and constructive fraud; unsuitable recommendations and purchases under Virginia law, federal law and FINRA conduct rules; negligence; breach of fiduciary duty; breach of contract; control person liability; respondeat superior.unspecified punitive; Respondent to rescind its sale of the securities at issue; interest assessed from December 30, 2005 at the rate of 6% per annum up to the time of payment of the award;damages for the loss of opportunity to use investment funds;costs, FINRA fees and attorneys’ fees incurred by Claimant in order to prosecute this action; failure to supervise; negligence; breach of fiduciary duty; misrepresentation; omission of facts; suitability; violation of Section 10(b) of the Exchange Act and Rule 10(b)(5); violations of the Connecticut Securities Act, Conn. A Genworth Variable Life Insurance Policy, and various individual stocks, JDS Uniphase, Infospace, and Alcatel Rescission of Claimant’s purchase of the securities at issue in this matter; Interest at the statutory rate as provided by law; Costs of this action, including reasonable costs of representation, including attorneys’ fees to the extent allowed under law, forum fees, fees paid to experts, and related costsunspecified punitive; interest on 8,000.00 (8% per annum) pursuant to N. The Panel recommends the expungement of all references to the above captioned arbitration from Respondent Katrina L.
Consequential damages; Disgorgement and restitution of all earnings, profits, compensation, and benefits received by Respondents; Punitive and exemplary damages; Pre-award and post-award interest at the maximum rate allowed; cost of arbitration; attorneys’ fees, expert witness fees and any other reasonable cost.breach of contract, fiduciary duty, and promissory estoppel; unsuitability; unauthorized trading; failure to supervise; negligence; violation of California Civil Code; control person liability; respondeat superior; vicarious and joint and several liability.unspecified punitive; reimbursement of Claimants’ filing fee; reimbursement of FINRA hearing session fees; pre-judgment interest at the New York statutory interest rate from the dates Claimants purchased the Schwab Yield Plus Fund securities in their accounts through the date of the arbitration award; post-award interest at the New York interest rate of 9% per annum from the date of the arbitration award through the date of payment of the award; costs; attorneys’ feesbreach of fiduciary duty; common law negligence; fraud; breach of contract; violation of FINRA Conduct Rule 2110: Commercial Honor and Principles of Trade; Violation of FINRA Conduct Rule 2210(d)(1)(A): Fair dealing and good faith; negligent supervisionunspecified punitive; rescission; reimbursement of filing fees and hearing session fees; pre- and post-judgment interest; costs; attorneys’ fees; a disciplinary referral of this matter to FINRA regulatory authorities,violation of the anti-fraud provisions of the Federal Securities Acts; violations of various state and federal statutes; common law fraud; breach of fiduciary duty; breach of contract; negligence; violation of the Illinois State Securities Act; violations of the Illinois Deceptive Business Practices Actliability under securities laws; liability for breach of fiduciary duty; intentional and negligent misrepresentation; liability under Civil Code Article 2315; liability under respondeat superior; securities laws; Civil Code articles 23; liability for detrimental reliance; liability for bad faith breach of contract.interest from the date of the purchase; costs and attorneys’ fees; full restitution; lost investment funds, profits and opportunifies; expenses incurred investigating the effect of the Notes’ loss in value on Claimant’s capital requirements; costs of raising additional capital; inconvenience; all exemplary damages occasioned by Respondents’ bad faith actions and violations of applicable law; prejudgment and post-judgment interest; all costs of the suit and attorneys’ fees, all as provided by applicable securities and other laws; and, such other relief as the Panel deemed just and properbreach of fiduciary duty; breach of the covenant of good faith and fair dealing; breach of contract; churning; breach of a broker’s duty of reasonable care; unsuitability; respondeat superior; unauthorized trading; negligent and intentional misrepresentation; mismanagement; fraud and deceit; tortious malpractice as a licensed securities professional; violations of various state securities laws, including the Massachusetts Consumer Protection Act; failure to supervise; violations of FINRA, NYSE, and American Stock Exchange rules Disgorgement of excessive commissions, fees, and compensation received by Respondents; All losses associated with what such funds should have earned if appropriately invested; lost opportunity costs associated with Respondents’ conduct; Treble damages; An award of exemplary or punitive damages in an amount to be determined by the Panel; Attorneys’ fees; other costs of arbitration, including, but not limited to. Transfer and turnover to him 73,076 shares of the Citigroup common stock .01 par value.
240.10b-5]; violation of Pennsylvania Unfair Trade Practices and Consumer Protection Law [73 P. 1-201 et seq.]; Pennsylvania Securities Act of 1972, 70 P. Daifotis’s, registration records maintained by the Central Registration Depository (“CRD”); The registered person was not involved in the alleged investmentrelated sales practice violation, forgery, theft, misappropriation, or conversion of funds; Other than Forum Fees which are specified below, the parties shall each bear their own costs and expenses incurred in this matter; Respondents are found not liable on all of Claimants’ claims for relief; The Panel recommends the expungement of all references to the above captioned arbitration from Respondents Isaacson and Shawver’s registration records maintained by the CRD; The claim, allegation, or information is false.(1) violations of the Florida Securities and Investor Protection Act, Florida Statutes Chapter 517; (2) common law fraud; (3) breach of fiduciary duty; (4) negligence (gross negligence); (5) breach of contract; (6) violation of NASD Conduct Rule 2120: Manipulative, Deceptive and Fraudulent Devices; (7) violation of NASD Conduct Rule 2310 (“Know Your Customer”): Unsuitability; (8) violation of NASD Conduct Rule 2110: Commercial Honor and Principles of Trade; and, (9) violation of NASD Conduct Rule 3010(a): Negligent Supervision John Hancock variable annuity as well as various mutual funds and preferred securities including Cohen & Steers Global Income Builder, PIMCO Floating Rate Income Fund, Nicholas Applegate Convertible Income Fund II, Pioneer High Income Fund and Blackrock Enhanced Capital & Income Fund, Inc.pre-award and post-award interest at the legal rate for Claimants’ loss of use of their capital; attorneys’ fees; all costs and fees incurred in this action, including all forum fees, expert witness-related fees, and additional costs/fees incurred by Claimants’ counsel; such further relief as deemed just and appropriate by the Panel. are hereby denied and dismissed with prejudice; The Panel recommends tiie expungement of all references to the above captioned arbitration from the registi^tion records of Respondents.
seq.; breach of fiduciary duty; common law fraud; negligence; breach of contract Unsuitability of securities under section 10(b) of the Securities Exchange Act of 1934, 15 U. Interest at the legal rate thereon; Costs and attorneys’ fees; Rescission of the disputed investments based on Respondents’ violation of § 25401 of the California Corporations Code pursuant to Cal. Code §25501; All other equitable relief and damages as shown at the hearing.violations of NYSE and FINRA rules and regulations and violations of the securities laws and regulations of the Commonwealth of Pennsylvania, breach of contract, breach of fiduciary duty, negligence, violation of Pennsylvania’s Unfair Trade Practices and Consumer Protection Law, and violation of FINRA Conduct Rules; §2110 – Just and Equitable Principles of Trade, §2310- Recommendation to Customers (Suitability), §2310-2 (a)(1)- Fair Dealing with Customers, and §3010 (a)(1) – Supervision Claimant’s claims having been settled, each and all, are hereby dismissed with prejudice; The Panel recommends the expungement of all references to the above captioned arbitration from Respondent, Kimon P.
Rohan Profit Sharing Plan U/A dated 12/15/1999failure to treat Claimants in a just and equitable manner; negligence; gross negligence; negligent misrepresentation; negligent supervision; omissions; fraud and fraudulent misrepresentation; breach of fiduciary duty; breach of contractviolation of FINRA rules; violation of state and federal securities laws, including Section 10(b) and 10b-5 of the Securities Act of 1933; breach of fiduciary duties; violation of duty of fair dealing; failure to supervise Claimant’s account; violation of the Tennessee Consumer Protection Actwrongful conduct; breach fo fiduciary duty; negligence; breach of written contract; failure to supervise and control; violation of state and federal securities laws; violation of FINRA rules of fair practice and NYSE rulesbreach of contract; suitability; negligence; breach of fiduciary duty; negligent misrepresentation; violation of California Corporations Code Sections 2540; conversion; common law fraud; constructive fraud Popular High Grade Fixed Income Fund; Eaton Vance Tax Advantage Global Dividend Income Fund; Eaton Vance Tax Managed Buy Write Income Fund; Van Kampen Senior Income Fund; Western Global High Income Fundviolation of Federal Security Law; violation of Idaho Security Law; violation of Washington Security Law; violation of the Washington Consumer Protection Act; breach of contract; common law fraud; breach of fiduciary duty; negligence; gross negligence; failure to supervisesecurities fraud; fraudulent misrepresentation; lack of supervision; lack of suitibility; breach of fiduciary duty; aiding and abetting breach of fiduciary duty; breach of contract; violation of Rules 10b-5; respondeat superior; vicarious liabilitybreach of fiduciary duty; suitability; failure to supervise; negligence; common law fraud; violation of California Corporations Code § 25401; violation of California Welfare & Institutions Code § 15600 et seq. Secrest u/a Dated 4/12/06, by Its Trustee, Valerie A. ) Other than Forum Fees which are specified below, the parties shall each bear their own costs and expenses incurred in this matter;1. Egeland is liable for and shall pay to Claimants, Wallace Larson and Shirley Larson, the sum of 2,000.00 in compensatory damages; 2. Egeland is liable for and shall pay to Claimants, Wallace Larson and Shirley Larson, interest on the above-stated sum at the rate of 2% per annum from and including October 1, 2008, through and including May 16, 2011; 3. Egeland is liable for and shall pay to Claimants, Wallace Larson and Shirley Larson, the sum of ,000.00 in attorneys’ fees pursuant to Minnesota Stat. ) Other than Forum Fees which are specified below, the parties shall each bear their own costs and expenses incurred in this matter;stnct liability for the sale of unregistered securities; material misstatements in connection with the sale/offer of securities; securities fraud; fraudulent misrepresentation; negligent misrepresentation; and respondeat superior, negligent supervision, and controlling person liability The Panel recommends the expungement of all reference to the above-captioned arbitration from Respondent James R.
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References: § 25401
 §25501
 §2110
 §2310
 §2310
 §3010
 § 25401
 § 15600