FL RESIDENT, REPRESENTED BY COUNSEL, HAS FILED A WRITTEN COMPLAINT STATING THAT BEGINNING IN JULY 2007 HE WAS SOLD INVESTMENTS INCLUDING COMMON STOCK, STRUCTURED PRODUCTS, AND CLOSED END FUNDS THAT CONTAINED MORE RISK THAN WAS SUITABLE. (7/1/2007-6/30/2009)

$170,232.80

THE FIRM'S REVIEW DID NOT REVEAL ANY EVIDENCE OF WRONGDOING. THE COMPLAINT WAS DENIED IN ITS ENTIRETY. ***FA DISPUTES ALL ALLEGATIONS. ACCOUNT WAS 80 PERCENT FIXED INCOME. THE ONLY EQUITY THAT WAS BOUGHT, HUNTSMAN WAS AN UNSOLICITED TRADE RECOMMENDED BY THE CLIENTS SISTER. ALL TRADES WERE DONE WITH COMPLETE CONSENT OF BOTH THE CLIENT AND HIS SISTER. CLIENTS CHILDREN TRANSFERRED ACCOUNT OUT, THEN LIQUIDATED IN THE MIDDLE OF THE CREDIT CRISIS. ALL ASSETS EXCEPT GENERAL MOTORS HAVE SINCE RECOVERED.

CLIENT ALLEGED MISREPRESENTATION WITH RESPECT TO RETURN ON INVESTMENT -- 09/18/1997.

$11,417.11