CLAIMANT ALLEGES, INTER ALIA, THAT FROM MAY OF 2005 TO MARCH OF 2009 THE FINANCIAL ADVISOR MADE UNSUITABLE INVESTMENTS.

$100,000.00

$22,500.00

THE FIRM SETTLED FOR BUSINESS PURPOSES ONLY, WITH NO ADMISSION OF LIABILITY. BROKER DID NOT CONTRIBUTE.

TRUSTEE ALLEGES INVESTMENTS WERE NOT DIVERSIFIED ENOUGH FOR A CONSERVATIVE ACCOUNT - 2005-2008. DAMAGES UNSPECIFIED.

CLAIM DENIED.

UNSUITABILITY, FAILURE TO IMPLEMENT HEDGING STRATEGY AND FRAUD FROM FEBRUARY 15, 2000 THROUGH MAY 31, 2003.

$200,000.00

$125,000.00

ALLEGED BREACH OF FIDUCIARY DUTY, NEGLIGENCE AND UNSUITABILITY BETWEEN 11/99-5/03.

$350,000.00

$47,200.00

THE BROKER WAS DISMISSED AS PART OF THE SETTLEMENT.

UNSUITABILITY, BREACH OF FIDUCIARY DUTY AND MISREPRESENTATION REGARDING A MANAGED ACCOUNT. 03/01/00 TO 02/03

$30,000.00

5/8/03 MEDIATION REQUESTED SMITH BARNEY IS LOOKING INTO THIS MATTER.

THE CLIENT ALLEGED MISREPRESENTATION AND UNSUITABILITY WITH REGARD TO AN EQUITY. 1999. ALLEGED DAMAGES - UNSPECIFIED

CLAIM DENIED.

THE CLIENTS ALLEGED MISREPRESENTATION AND UNSUITABILITY WITH REGARD TO THEIR BONDS. FEBRUARY 1999 THROUGH DECEMBER 2000.

$67,071.00

THE CLIENT'S CLAIM WAS DENIED.

PRUDENTIAL SECURITIES IN CLIENT FROM EL ALLEGED BREACH OF FIDUCIARY DUTY, MISREPRESENTATION, UNSUITABILITY DIRECT INVESTMENTS DPP & LP INTERESTS ALLEGED DAMAGES $11,899 PUNITIVE EXEMPLARY DAMAGES $100,000 TREBLE DAMAGES $80,000

$11,899.00

$14,000.00

SETTLED $14,000/NO INDIVIDUAL CONTRIBUTION CLIENT PURCHASED MOSTLY NON-RATED AND LOWER-GRADE MUNICIPAL BONDS FROM ME SINCE 1981. DURING WHICH TIME HE ALSO DEALT IN HIGH-RISK SECOND-MORTGAGE AND PENNY STOCKS FROM OTHER BROKERS. A RETIRED ATTORNEY FROM PHILADLEPHIA CLEINT ALSO PURCHASED $20,000 OF PRU-BACHE ENERGY INCOME #22 PARTNERSHIP FROM ME AFTER REVIEWING THE PROSPECTUS I SENT HIM. FOR SEVERAL WEEKS CLIENT RECEIVED CASH FLOW OF APPROX. $7,000 FROM THE INVESTMENT.

PRUDENTIAL CLIENT FROM FLORIDA ALLEGED UNSUITABILITY DIRECT INVESTMENTS DPP & LP INTERESTS MUTUAL FUNDS ALLEGED COMPENSATORY DAMAGE $29,578.61

$29,578.61

$14,999.00

SETTLEMENT OF $14,999 IN FAVOR OF THE CUSTOMER [CUSTOMER] INDIVIDUAL CONTRIBUTION $0.00 [CUSTOMER'S] OBJECTIVES WERE SAFETY OF PRINCIPAL AND HIGH MONTHLY INCOME I ACHIEVED A PORTFOLIO FOR HER WHICH WAS VERY WELL DIVERSIFIED. PROPERLY BALANCED AND MET OBJECTIVES. THE HIGH YIELD FUNDS PRINCIPAL DECREASED DUE TO MARKET CONDITIONS. BUT INCREASED SUBSTANTIALLY AFTER THE CLIENT SOLD IT. PRUDENTIAL SETTLED WITH [CUSTOMER]PRIMARILY DUE TO THE POOR PERFORMANCE OF THE 2 LI MITED PARTNERSHIPS IN THE PORTFOLIO AND STATED THAT NO FAULT WAS FOUND WITH THE BROKER. ALSO NO RE-3 REPORT TO THE NYSE WAS NECESSARY.