Claimant alleges unsuitable investments, misrepresentation and elder financial abuse.

$250,000.00

$30,000.00

Claimant alleges unsuitable investments, breach of fiduciary duty, and violation of FINRA rules.

$140,000.00

$27,000.00

Client alleges registered representative misrepresented corporate bonds. 3/20/14 through 3/25/14

CLIENT ALLEGES LOSSES DUE TO INAPPROPRIATE INVESTMENTS. **TIMEFRAME IS 8/20/14 THROUGH 7/26/15

CLAIMANT ALLEGES UNSUITABILITY, MISREPRESENTATIONS AND OMISSIONS OF FACT, NEGLIGENCE, BREACH OF FIDUCIARY DUTY, NEGLIGENT MISREPRESENTATION AND BREACH OF CONTRACT.

$600,000.00

$50,000.00

THE ARBITRATION PANEL RECOMMENDED THE EXPUNGMENT OF THIS MATTER FROM MY RECORD.

CUSTOMERS ALLEGE VIOLATIONS OF JUST AND EQUITABLE PRINCIPLES OF TRADE, SUITABILITY REQUIREMENTS, MISREPRESENTATIONS AND OMISSIONS OF FACT, NEGLIGENCE, AND BREACH OF FIDUCIARY DUTY. ACTIVITY PERIOD: 8/1/07 TO 10/31/09.

$750,000.00

ALLEGES BREACH OF FIDUCIARY DUTY; NEGLIGENCE; MISREPRESENTATION AND OMISSIONS; UNSUITABLE AND UNAUTHORIZED SECURITIES TRANSACTIONS; CHURNING; VIOLATION OF CALIFORNIA CIVIL CODE.

$175,000.00

$48,500.00

UNAUTHORIZED TRADE, $10,000.00 LOSS.

$10,000.00

$11,000.00

DWR BROKE TRADE AND PAID CLIENT. DWR AND I ARBITRATED ISSUE. CLIENT PAID $10,000.00. MADE WHOLE AGAIN. CLIENT PARTICIPATED IN IPO OF WORLDS OF WONDER ON 6/22/86. DWR EXECUTION SYSTEM FAILED. TRADE EXECUTED AFTER CLOSE OF MARKET. STOCK DRPPPED NEXT DAY AND RESULTED IN LOSS. AFTER MONTHS OF REFUSAL TO BREAK TRADE CLIENT SENT LETTER INDICATING TRADES UNAUTHORIZED IN EFFORT TO RECOUP LOSS. DWR SETTLED CLAIMS AND WE ARBITRATED $28,000.00 TOTAL LOSSES. WE SETTLED PRIOR TO ARBITRATION. DWR PAID $21,500.00 OF ALL TOTAL CLAIMS. I PAID $6,500.00. THERE WERE NO OTHER PENALTIES SUCH AS SUSPENSIONS.

POOR EXECUTION OF ORDER. CLIENT SHOULD NOT BE HELD TO TRADE. LOSS OF $11,000.00.

$11,000.00

$11,000.00

DWR PAID CLIENT-BROKE TRADES. DWR AND I ARBITRATE ISSUE. CLIENT MADE WHOLE, PAID $11,000.00. CLIENT PARTICIPATED IN AN IPO FOR WORLDS OF WONDER. DWR COMPUTER SYSTEM FAILED ORDERS ENTERED IN A.M. NOT EXECUTED TILL AFTER MARKET CLOSED. STOCK DROPPED RESULTING IN LOSS. DWR FELT IT WAS NOT THEIR FAULT AND WANTED ME TO PAY LOSS. I REFUSED. DWR AND I ARBITRATED. ALL COMPLAINTS OF LOSSES. LOSSES TOTALED $28,000.00. WE SETTLED PRIOR TO HEARING. I PAID $6,500.00. DWR PAID $21,500.00. NO OTHER PENALTIES OR RESTRICTIONS.