$44,611.95

Tax

State of Illinois Secretary of State Securities Department

12.E. of the Securities Act any statement which was false or misleading with respect to any material fact 12.H of the Securities Act to sign or circulate any statement or other knowing or having reasonable grounds to know any material representation therein contained to be false or untrue. 12.J of the Securities Act 1)employ any device, scheme or artifice to defraud any client or prospective client 2) engage in any transaction, practice which operates as a fraud or deceit upon any client or prospective client 3) engage in any act, practice, or course of business which is fraudulent, deceptive manipulative.

Consent

A fine of 1500 was paid and the SCB Compliance, LLC was hired for a period of 5 years to provide the Illinois Securities Department with a copy of the Audit Report, however after 2 years of reporting, Respondents may request the Department to Waive the remaining years.

$25,374.19

Tax

We are Compliant with IRS

$15,491.10

Tax

We are compliant with the IRS

$26,759.89

Tax

We are Compliant with IRS

CLIENT ALLEGED EXCESSIVE TRADING IN COMMODITY/FUTURES ACCOUNT WHILE BROKER EMPLOYED AT SMITH BARNEY. ALLEGED DAMAGES $89,721.94

$89,721.94

$20,000.00

SMITH BARNEY SETTLED THE CLAIM FOR $20,000. Not Provided