CLIENT ALLEGES SHE AGREED TO LIQUIDATE 20-30% OF THEIR 51,495 SHARES OF RFH ON OR ABOUT THE 15TH OF EVERY MONTH AND REINVEST THOSE PROCEEDS AS THEY BECOME AVAILABLE. THE CLIENT ALLEGES THE IR EMPLOYED BY EDWARD JONES LIQUIDATED THE ENTIRE POSITION HELD IN RFH IN A THREE DAY PERIOD IN CONTRADICTION TO WHAT HAD BEEN AGREED UPON. CLIENT REQUESTS AN INVESTIGATION OF THE INCIDENT WITH NO AMOUNT CLAIMED AS DAMAGES.

THE IR STATES THAT HE RECOMMENDED THAT THEIR LARGE POSITION IN RFH BE SOLD AND THE CLIENTS AUTHORIZED THE TRANSACTION. THE IR PLACED LIMIT ORDERS WITH DISCOUNTED COMMISSIONS TO REDUCE THE NEGATIVE MARKET CONSEQUENCE OF SELLING ALL IN ONE BLOCK. THE CLIENT RECEIVED RIGHTS OF ACCUMULATION SALES CHARGE DISCOUNT ON THE PUTNAM FUNDS THAT WERE PURCHASED WITH THE PROCEEDS. THEY DID NOT EXPRESS ANY CONCERN UNTIL AFTER RFH ANNOUNCED A MERGER WHICH CAUSED THE STOCK PRICE TO INCREASE. PRIOR CONVERSATIONS WITH THE CLIENT INDICATED ALL TRANSACTIONS HAD BEEN DONE PROPERLY. CLAIM DENIED. Not Provided