Mr. Pineda is not a party to the arbitration. Allegations pertain to an investment in an alternative product, intended to be a small component of a larger diversified portfolio. Unfortunately, the company that issued the investment has since filed Chapter 11 bankruptcy. As a result, the client is now alleging breach of fiduciary duty, negligence, negligent supervision, fraud, breach of contract, violation of sections 10(b) and 20(a) of the Securities and Exchange Act, Rule 10b-5 of the Securities and Exchange Commission and violation of the Colorado Uniform Securities Act.

$75,000.00

$45,000.00

Mr. Pineda was not a party to the arbitration. Without admitting any wrongdoing, LifeMark and the client have entered into a confidential Settlement Agreement and Release in which the client has provided a full release in favor of LifeMark. Neither the Settlement Agreement nor its covenants and releases shall be construed as an admission of liability by Lifemark or any of its agents, shareholders, principals, members, officers, directors, or representatives. Mr. Pineda was not involved in settlement discussions and did not contribute to the settlement.

PRUCO SECURITIES, LLC

Discharged

Registered Representative submitted a Company replacement form containing a non-genuine signature and non-genuine initials of a client to the Company in connection with an annuity application.

I do not know why this investigation occurred. In March 2017 I became aware that firm was investigating me because some of my clients notified me that firm was questioning transfer/new account paperwork that they had signed. They assured investigator that they were aware of all documentation and that they had signed accordingly. I contacted my OSJ Compliance Officer but was not provided any information throughout this process. At end of June, I was informed that I was being terminated. The transaction in question was completed Nov. 2016. The firm contacted me in April 2017 and informed me that they had called the client in question many times and mailed documents to her for review. The client in question personally executed all required documents and I was in compliance with all company procedures, so I am perplexed and dispute their finding.