CUSTOMERS ALLEGE THAT TRANSACTIONS IN THEIR ACCOUNT WERE INAPPROPRIATE IN LIGHT OF THEIR OBJECTIVES FROM SEPTEMBER 1997 THROUGH FEBRUARY 1999, WHILE MR. ZERG WAS EMPLOYED WITH DEAN WITTER. CUSTOMERS ALLEGE DAMAGES OF $57,000.

$57,000.00

LOSS OF $7,656

$7,656.00

$10,582.00

SETTLEMENT FOR $10,582 THIS MATTER RESULTED FROM THE UNPRECENDENTED UNSOLICITED MAILING OF CLAIM FORMS BY PSI TO OVER 340,000 INVESTORS WHO PURCHASED LIMITED PARTNERSHIPS THROUGH PSI FROM 1/1/80 TO 1/1/91. [CUSTOMER] SUBMITTED A CLAIM FORM IN RESPONSE TO THIS MAILING, WHICH WAS EVALUATED BY PSI IN ACCORDANCE WITH THE STANDARDS ESTABLISHED UNDER THE SETTLEMENT BETWEEN PSI, THE SEC, NASD AND THE STATE SECURITIES ADMINISTRATORS.

CUSTOMER ALLEGED FRAUD, UNSUITABILITY OF TRADING, CHURNING AND BREACH OF FIDUCIARY DUTY, RESULTING IN UNSPECIFIED DAMAGES BELIEVED TO BE OVER $10,000.00.

$20,000.00

CASE SETTLED FOR $20,000.00. Not Provided