CLIENT ALLEGES A BREACH OF FIDUCIARY RESPONSIBILITY, UNSUITABILITY, FALSE REPRESENTATIONS, FRAUD, NEGLIGENCE, FAILURE TO SUPERVISE, AMONG OTHER CLAIMS WITH REGARD TO BROKERAGE ACCOUNT.

$444,761.00

$45,000.00

1998 - CLIENT HAD OPENED IRA, BROKERAGE ACCOUNT AND VARIABLE ANNUITY. CLIENT SUFFERED LOSSES IN MUTUAL FUND ACCOUNT AND VARIABLE ANNUITY SUB ACCOUNTS DUE TO MARKET CONDITIONS IN 2000 - 2002. SHE NOW ALLEGES LOSSES WERE FAULT OF REP AND NOT HER OWN RESPONSIBILITY THE CLAIMENT REPRESENTS AND WARRANTS THAT SHE HAS WITHDRAWN ALL ALLEGATIONS OF WRONG DOING MADE AGAINST MR. HOCH AND DISMISSED WITH PREJUDICE ALL CLAIMS MADE AGAINST MR HOCH