Client alleges a greater amount of funds that authorized were removed from his checking account to purchase. Client also alleges he paid fees to liquidate securities early. (08/05/2004 - 08/01/2007)

$30,000.00

COUNT 1 - POSSESSION OF A CONTROLLED SUBSTANCE - FELONY CHARGE - PLED NOT GUILTY COUNT 2 - DRIVING UNDER INFLUENCE OF ALCOHOL OR DRUGS - MISDEMEANOR CHARGE - PLED NOT GUILTY COUNT 3 - DRIVING WHILE HAVING .08% OR HIGHER BLOOD ALCOHOL - MISDEMEANOR CHARGE - PLED NOT GUILTY

FELONY

COUNT 1: A. FELONY WAS SUSPENDED B. 10/21/1999 C. DEFERRED ENTRY OF JUDGMENT D. 24 MONTHS E. 5/1/2000 COUNT 2: A. DISMISSED B. 4/21/2000 COUNT 3: A. IMPOSITION OF SENTENCE SUSPENDED B. 4/21/2000 C. PLACED ON SUMMARY PROBATION D. 2 YEARS E. 5/1/2000

ON 5/8/99 WAS LEAVING AN OFFICE PARTY IN BEVERLY HILLS WHILE WORKING FOR TD WATERHOUSE IN BEVERLY HILLS. AFTER LEAVING PARTY GAVE A FRIEND A RIDE TO HER CARD. WHILE WALKING FRIEND TO HER CAR ABOUT 1:00 A.M. AN OFFICER APPROACHED ME AND ASKED WHERE I WAS GOING. I RESPONDED. ASKED WHERE I WAS COMING FROM. I RESPONDED AN OFFICE PARTY. HE ASKED IF I HAD BEEN DRINKING. I RESPONDED YES BUT DIDN'T THINK I WAS UNDER THE INFLUENCE. ASK ME TO TAKE A FEW TEST IN WHICH I FELT I PASSED. THEN ASK ME TO GO TO STATION TO TAKE A BREATHLIZER. IN WHICH IT RECORDED I WAS LEGALLY OVER THE LIMIT. IN CHECKING MY ITEMS THE OFFICER FOUND A SMALL AMOUNT OF NARCOTICS IN MY WALLET WHICH I DIDN'T KNOW WAS THERE. WENT TO COURT, COUNT 1 AND 3 DISMISSED AFTER COMPLETED PROGRAM WITH COURT ON 10/19/01.

CAPITAL SECURITIES OF AMERICA

Discharged

I WAS NEVER TERMINATED. I SENT A LETTER OF RESIGNATION TO CAPITAL SECURITIES OF AMERICA.

I SENT A LETTER OF RESIGNATION BECAUSE THEY WOULD NOT LET ME TRADE WHILE WE INVESTIGATING SOEMTHING THAT WAS PROVEN I HAD NOTHING TO DO WITH.