PENNSYLVANIA CLIENT WRITES THAT WACHOVIA SECURITIES ADVISORS RON TALLEY AND PETER SCIORTINO RECOMMENDED SWITCHING $80,000 FROM CERTIFICATES OF DEPOSIT TO B SHARES OF THE EVERGREEN FLOATING RATE FUND IN DECEMBER OF 2002. CLIENT STATES THAT RECOMMENDATION WAS UNSUITABLE BECAUSE THE CD SERVED AS COLLATERAL FOR A WACHOVIA BUSINESS LINE OF CREDIT, WHICH WAS REVOKED DUE TO INSUFFICIENT COLLATERAL AS A CONSEQUENCE OF THE TRADE. CLIENT FURTHER STATES THAT DEFERRED SALES CHARGES PREVENT MOVING THE ASSETS TO SECURE A NEW LINE OF CREDIT ELSEWHERE. CLIENT DEMANDS WAIVED OF SALES CHARGES AND RETURN OF LOST EARNINGS TOTALING $5,700.

$5,700.00

DENIED BY FIRM ON AUGUST 30, 2005. ON REVIEW, THE FUND RECOMMENDED BY MR. TALLEY WAS IN LINE WITH CLIENTS STATED INCOME OBJECTIVE AND FIVE TO TEN YEAR INVESTMENT TIME HORIZON AND THE SURRENDER CHARGES WERE DISCLOSED IN A SIGNED DOCUMENT AT THE TIME OF SALE. WITH REGARD TO THE CLOSURE OF THE CLIENT'S CREDIT LINE, THIS APPEARS TO HAVE BEEN DUE TO THE FAILURE TO CLIENT TO SUBMIT PAPERWORK NEEDED TO ADDRESS THE PROBLEM, WHICH WAS REQUESTED ON MULTIPLE OCCASIONS. FINALLY, CLIENT STATES THAT SHE NEVER HAD ANY INTERACTION WITH ADVISOR PETER SCIORTINO, WHO SHE NAMED IN HER INITIAL COMPLAINT AND THAT ALL OF HER CONTACT WAS WITH MR. TALLEY.

TRADES TOOK PLACE IN JANUARY OF 2001, IN JANUARY OF 2002 CLIENT ALLEGED REGISTERD REPRESENTATIVE GUARANTEED A 14% RATE OF RETURN.

$22,000.00