CLIENT ALLEGES REP MISREPRESENTED THE SALE OF THE UNIVERSAL LIFE CONTRACT SOLD IN 1991.

[CUSTOMER] DID NOT LOSE ANY OF HIS INVESTMENT. HE AND HIS WIFE INVESTED A TOTAL OF $1000. HE WITHDREW IN EXCESS OF $2000. IT IS MY BELIEF THAT [CUSTOMER] IS UPSET BECAUSE THE ACCOUNT HAD DROPPED FROM ITS HIGH DUE TO MARKET CONDITIONS AND HE IS UNHAPPY ABOUT A FIXED LIFE INSURANCE POLICY WHICH HE PURCHASED FROM ING TWENTY YEARS AGO.

CLIENT ALLEGES UNSUITABLE RECOMMENDATION OF VARIABLE ANNUITIES

$120,000.00

$62,000.00

CUSTOMER ALLEGES PRODUCT SOLD TO HER WAS SUITABLE.

$5,000.00

CLIENT ALLEGED UNSUITABLE TRANSACTION IN FILING WITH STATE OF ARIZONA INSURANCE DEPARTMENT. REPRESENTATIVE RESPONDED TO THE STATE AND TO THE CLIENT. TO DATE, NO FURTHER INQUIRIES HAVE BEEN RECEIVED FROM EITHER CLIENT OR STATE OF ARIZONA.

THE LIMITED PARTNERSHIP [CUSTOMER] INVESTED IN DID NOT PAY THE PROMISED RETURNS NOR WAS SHE ABLE TO RECOUP HER INITIAL INVESTMENT OF $10,000.00.

$10,000.00

$10,000.00

THE ARBITRATORS DECIDED THAT I SHOULD PAY [CUSTOMER] THE AMOUNT OF HER INVESTMENT ($10,000.00) I PAID [CUSTOMER] $10,000.00 BY CHECK ON SEPTEMBER 11, 1992. [CUSTOMER] PURCHASED A LIMITED PARTNERSHIP INTEREST WHICH WAS AN APPROVED PRODUCT FROM MY BROKER/DEALER. I, AS WELL AS OTHER REGISTERED REPRESENTATIVES, RECOMMENDED THIS INVESTMENT WHICH WAS NOT SUCCESSFUL AND [CUSTOMER] FELT IT WAS MY FAULT.

BOARDWALK CAPITAL CORPORATION

Discharged

N/A SELLING AWAY

NOTHING/NONE I WAS TERMINATED FROM BOARDWALK AFTER I VOLUNTARILY RESIGNED IN ORDER TO SWITCH TO ANCHOR NATIONAL. THIS WAS DONE PURELY FOR SPITE BY THE OWNERS OF BOARDWALK BECAUSE I WAS LEAVING. I DID ABSOLUTELY NOTHING WRONG.