THE CUSTOMER ALLEGED THE REPRESENTATIVE TOLD HIM THE PRICE OF THE CORPORATE CAPITAL TRUST AND FS ENERGY AND POWER FUND BDCS PURCHASED IN MARCH 2014 WOULD NOT GO BELOW THE SELLING PRICE.

$20,000.00

CLAIMANT ALLEGES THAT RESPONDENTS MISHANDLED HER ACCOUNT, UNLAWFULLY PLACED HER IN A MARGIN ACCOUNT, AND OTHERWISE MISALLOCATED HER PORTFOLIO TO BE OVERWEIGHTED WITH EQUITIES AGAINST HER INVESTMENT OFJECTIVES AND RISK TOLERANCE. AS A RESULT, CLAIMANT SUFFRED OUT-OF-POCKET LOSSES OF $475,000. THE FIMEFRAME IS OCTOBER 2006 - JANUARY 2009.

$475,000.00

$215,000.00

AMERIPRISE SETTLED AT MEDIATION WITHOUT MY PARTICIPATION FOR $215,000. I WAS NOT A PARTY TO THE MEDIATION BUT WAS DISMISSED FORM THE CASE AS PART OF THE SETTLEMENT AGREEMENT. I DISAGREED WITH MAKING A SETTLEMENT OFFER BECAUSE I DID NOTHIN WRONG, AND I CONTRIBUTED NOTHING TO THE SETTLEMENT AMOUNT.

POSSESSION & SALE OF ALLIGATOR SKINS.

MISDEMEANOR

ALL CHARGES AGAINST ME WERE DROPPED.

ON 12/30/72, WHILE HUNTING IN THE RICHLOAM WILDLIFE MANAGEMENT AREA, I WAS ARRESTED FOR POSSESSION AND SALE OF ALLEGATOR HIDES DURING A ROUTINE CHECK BY A WILDLIFE OFFICER. THE OFFICER WAS NOT CHERTAIN THAT THE CHARGES WERE STILL OUTSTANDING, BUT HE ARRESTED ME ANYWAY. SEBSEQUENT INVESTIGATION BY THE AUTHORITIES DETERMINED THAT THE CHARGES AGAINST ME HAD BEEN SEVERAL MONTHS EARLIER AND I WAS RELEASED FROM JAIL IN GOOD STANDING.

AUTO THEFT, POSSESSION OF STOLEN PROPERTY, GRAND LARCENY AND UMVWOOC

ALL CHARGES AGAINST ME WERE DROPPED AND THE BOND WAS DISCHARGED BY THE DADE COUNTY CRIMINAL COURT.

THE ABOVE CHARGES WERE THE RESULT OF A AUTOMOBILE MOTOR THAT I TOOK FROM AN ABANDONED, FIRE GUTTED AND STRIPPED CAR THAT I FOUND WHILE HUNTING ON THE EDGE OF THE EVERGLADES, SOUTHWEST OF MIAMI, FLORIDA.