RECEIVED LETTER FROM CLIENT'S ATTORNEY CLAIMING THE FINANCIAL ADVISOR DID NOT FOLLOW THROUGH WITH STOP LOSS ORDERS ON THE CLIENT'S ACCOUNTS. CLAIMS THE FA INFORMED THE CLIENT THAT THE STOP LOSS ORDERS WERE IN PLACE AND WOULD BE EXECUTED IF THE ACCOUNT VALUE DROPPED BY 10% TO PREVENT FURTHER DAMAGES. DAMAGES WERE NOT SPECIFIED, BUT ARE BELIEVED TO EXCEED $5,000.00. (12/05/2006 -10/25/2009) **ARBITRATION ALLEGATIONS: CLAIMANTS, RESIDENTS OF FLORIDA, ALLEGE FA MADE MISREPRESENTATIONS WHEN SHE RECOMMENDED A STOP LOSS STRATEGY ON THE INVESTMENTS IN THEIR ACCOUNTS FROM 2006-2009. CLAIMANTS SEEK COMPENSATORY DAMAGES BELIEVED TO EXCEED $5,000.

$130,000.00

I HAD FACE TO FACE MEETING WITH CLIENT TWICE A YEAR AND FREQUENT PHONE CONVERSATIONS WITH THE CLIENT THROUGH 2008. THE INDIVIDUAL STOCKS WERE OWNED AND TRANSFERRED IN FROM A PREVIOUS FIRM. CLIENT MADE ALL INVESTMENT DECISIONS AND AT NO TIME DID I RECEIVE INSTRUCTIONS TO SELL THE STOCKS AS A LIMIT OR STOP ORDER.