The Customers allege unauthorized trading in February 2009.

THE CUSTOMER ALLEGES UNSUITABLE INVESTMENT RECOMMENDATIONS AND MISREPRESENTATION FROM JUNE 2008 TO AUGUST 2010

$776,782.15

$150,000.00

I fully deny these allegations as alleged and feel they are false as applied towards me. I was not the primary FA in this relationship and was not the point of contact with the client. This complaint came as a result of unprecedented market conditions following the credit crisis. Unfortunately, despite the fact that I did not have the primary relationship for this client, I was still named as part of this complaint . I was not asked nor did I contribute any monies toward the settlement of this matter. Settlement amounts are reported in full no matter the participation level of the broker on cases .

THE CUSTOMERS ALLEGE UNSUITABLE INVESTMENTS RECOMMENDATIONS AND MISREPRESENTATION FROM APRIL 2009 TO JUNE 2010.

$97,874.22

$51,000.00

I fully deny these allegations as alleged and feel they are false as applied towards me. I was not the primary FA in this relationship and was not the point of contact with the client. This complaint came as a result of unprecedented market conditions following the credit crisis. Unfortunately, despite the fact that I did not have the primary relationship for this client, I was still named as part of this complaint . I was not asked nor did I contribute any monies toward the settlement of this matter. Settlement amounts are reported in full no matter the participation level of the broker on cases .

THE CUSTOMER ALLEGES UNSUITABLE INVESTMENT RECOMMENDATIONS IN JULY 2009.

$90,060.66

$32,000.00

I fully deny these allegations as alleged and feel they are false as applied towards me. I was not the primary FA in this relationship and was not the point of contact with the client. This complaint came as a result of unprecedented market conditions following the credit crisis. Unfortunately, despite the fact that I did not have the primary relationship for this client, I was still named as part of this complaint . I was not asked nor did I contribute any monies toward the settlement of this matter. Settlement amounts are reported in full no matter the participation level of the broker on cases .