FIFTH THIRD SECURITIES

Discharged

THE FIRM TERMINATED THE REGISTERED REPRESENTATIVE AS A RESULT OF AN EXAMINATION WHICH FOUND THE REGISTERED REPRESENTATIVE VIOLATED FIRM POLICIES AND PROCEDURE, INCLUDING BUT NOT LIMITED TO, THE ALTERATION OF A CLIENT DOCUMENT.

I EFFECTUATED THE URGENT REQUEST OF A VERY ELDERLY CLIENT WHO EXPRESSED A NEED TO QUICKLY SETTLE HIS AFFAIRS FOR A SURVIVING SPOUSE. I COMPLETED A SIGNATURE LINE THAT THE CLIENT INADVERTENTLY OVERLOOKED AMONG DOZENS OF OTHER SIGNATURES. THE CLIENT HAD SIGNED THE SAME FORMS MULTIPLE TIMES TO OPEN MULTIPLE ACCOUNTS AND OVERLOOKED A SIGNATURE LINE. I HAVE NOT PREVIOUSLY COMPLETED THE SIGNATURE FOR A CLIENT IN OVER 22 YEARS WORKING IN THE SECURITIES INDUSTRY AND ONLY DID SO BECAUSE OF THE UNIQUE URGENCY EXPRESSED BY THIS CLIENT

CLIENT ALLEGES THAT THE REPRESENTATIVE SOLD HER NON-PUBLIC TRADE REIT THAT WERE UNSUITABLE.

$275,000.00

COMPLAINANT ALLEGED THAT THE REPRESENTATIVE ESTABLISHED AN ACCOUNT WITHOUT HER SIGNATURE AND CLOSED AN ACCOUNT AT FIDELITY FUNDS THAT COMPLAINANT DID NOT SIGN OR GIVE AUTHORIZATION. CUSTOMER HAS ALLEGED DAMAGES AS NOTED BELOW.

$14,000.00