Complaint: Client alleged his portfolio was to be invested in a conservative manner, however, it was moved into aggressive investments that are not suitable for his risk tolerance. (6/1/2014-11/27/2015). **Arbitration: Claimant alleges that the investment recommendations made to him for his retirement accounts, which were opened in 2008, were unsuitable.

$93,238.00

$42,000.00

Without admitting any liability, the Firm settled the matter for $42,000.00 to avoid further arbitration.

TIME FRAME: JULY 26, 2007 CLIENT ALLEGES HIS FINANCIAL ADVISOR ASSURED HIM THAT THE WORST THING THAT WOULD HAPPEN WOULD BE THE RETURN OF HIS PRINCIPAL, AND THAT IS WHY THE TERM "PRINCIPAL IS PROTECTED" IS USED.

$60,000.00

$30,000.00

TIME FRAME: JULY TO AUGUST 2007 CLAIMANT ALLEGEES THAT UBS AND HER BROKER DID NOT ADEQUATELY ADVISE HER THAT THE LEHMAN BROTHERS STRUCTURED NOTES WERE UNSUITABLE FOR HER AND WERE MISREPRESENTED TO HER.

$128,000.00

$115,000.00

UBS FINANCIAL SERVICES INC.

Discharged

SIGNED CLIENT'S INITIALS TO A DOCUMENT.

ON JANUARY 24, 2008, AS AN ADMINISTRATIVE CONVENIENCE FOR HIS CLIENT, MR. WEESE INITIALED AN ANNUITY REPLACEMENT DISCLOSURE FORM FOR A CLIENT WHO HAD INSTRUCTED MR. WEESE TO COMPLETE THE TRANSACTION AS QUICKLY AS POSSIBLE, AND WHOM HAD EARLIER COMPLETED OTHER RELATED PAPERWORK, BUT HAD OMITTED TO SIGN THE DISCLOSURE FORM. THE CLIENT LATER AFFIXED HIS INITIALS TO THE ANNUITY REPLACEMENT DISCLOSURE FORM.