CLIENT FEELS REPRESENTATIVE MISREPRESENTED INVESTMENTS BOUGHT YEARS AGO THAT ARE CURRENTLY IN RECEIVERSHIP

$30,000.00

BREACH OF FIDUCIARY DUTY, UNSUITABILITY, FAILURE TO SUPERVISE, LACK OF FAIR DEALING, CONTROL PERSON LIABILITY.

$145,000.00

$1,000,000.00

BREACH OF CONTRACT, NEGLIGENCE, BREACH OF FIDUCIARY DUTY, FAILURE TO SUPERVISE, VIOLATION OF SECTION 25401 CAL CORP CODE. I HAVE BEEN NAMED AS A CONTROL PERSON

$219,000.00

$1,000,000.00

MR. SCHOOLER IS NAMED AS CONTROL PERSON OF WFP SECURITIES - BREACH OF CONTRACT, NEGLIGENCE, BREACH OF FEDUCIARY DUTY, FAILURE TO SUPERVISE, CA CORP CODE AND CA SENIOR PROTECTION ACT.

$100,000.00

$1,000,000.00

UNSUITABLE INVESTMENT - THIS IS NOT A CLIENT OF SCHOOLER. SCHOOLER IS A PARTY IN HIS SUPERVISORY ROLE AT WFP SECURITIES.

$35,000.00

$10,500.00

SCHOOLER IS NAMED AS A CONTROL PERSON - THESE ALLEGATIONS ARE NOT BROUGHT BY ONE OF HIS CLIENTS. BREACH OF CONTRACT, NEGLIGENCE, BREACH OF FIDUCIARY DUTY, FAILURE TO SUPERVISE, VIOLATION OF CA CORP CODE

$100,000.00

$1,000,000.00

BREACH OF CONTRACT, NEGLIGENCE, BREACH OF FIDUCIARY DUTY, FAILURE TO SUPERVISE, VIOLATION OF CA CORP CODE, NAMED AS CONTROL PERSON OF WFP (WAS NOT REP ON THE ACCOUNT)

$242,700.00

$1,000,000.00

CLIENT NAMED SCHOOLER AS AN OFFICER AND CONTROL PERSON IN ARBITRATION BROUGHT DUE TO INVESTMENTS IN DPPS, CLAIMING BREACH OF CONTRACT, NEGLIGENCE, BREACH OF FIDUCIARY DUTY. SCHOOLER WAS NOT THE REGISTERED REP ON THE ACCOUNT.

$570,000.00

$1,000,000.00

CLIENT NAMED SCHOOLER AS INDIVIDUAL AND CONTROL PERSON IN ARBITRATION BROGHT DUE TO INVESTMENT IN DPPS, CLAIMING FAILURE TO SUPERVISE, BREACH OF FIDUCIARY DUTY, AND NEGLIGENCE.

$140,000.00

$1,000,000.00

CLIENT BOUGHT SEVERAL DPPS WITH MORTGAGE PROCEEDS AND CREATED A RETIREMENT PLAN HE CLAIMS IS UNSUITABLE. ALSO CLAIMS BREACH OF FIDUCIARY DUTY, NEGLIGENCE AND FAILURE TO SUPERVISE. JOHN SCHOOLER NAMED AS CONTROL PERSON ONLY, NOT INVOLVED IN RECOMMENDATION, SALE OR APPROVAL OF TRANSACTIONS.

$915,000.00

$1,000,000.00

CLIENT MADE INVESTMENTS IN SEVERAL DIRECT PARTICIPATION PROGRAMS THROUGH RR, [BROKER] AND [BROKER] ALLEGES NEGLIGENT MISREPRESENTATION, BREACH OF DUTIES, FAILURE TO SUPERVISE AND VIOLATIONS OF CA CORP CODE. MR. SCHOOLER IS NOT THE REGISTERED REPRESENTATIVE FOR THE CLIENTS. NO CONTRIBUTION AND EXPUNGEMENT AGREEMENT SIGNED FOR SCHOOLER BY ALL PARTIES.

$250,000.00

$15,000.00

CLIENTS PURCHASED INVESTMENTS IN PROVIDENT ROYALTIES AND MEDICAL CAPITAL, BOTH OF WHICH ARE IN RECEIVERSHIP AND HAVE SEC CHARGES ALLEGING FRAUD PENDING. JOHN SCHOOLER IS NOT THE REGISTERED REPRESENTATIVE ON THE ACCOUNT.

$320,000.00

$20,000.00

CLIENT [CUSTOMER] MADE INVESTMENTS IN 9 DPPS THROUGH RR [OTHER FIRM EMPLOYEE]. FOUR OF THE NINE INVESTMENTS HAVE RESULTED IN RECEIVERSHIP. SOC NAMES JOHN SCHOOLER AND ALLEGES NEGLIGENCE, FRAUD, DECEIT OR OMISSION OF MATERIAL FACTS, UNSUITABILITY OF INVESTMENTS, BREACH OF FIDUCIARY DUTY, BREACH OF TRUST AND ELDER ABUSE. JOHN SCHOOLER IS NOT THE REGISTERED REPRESENTATIVE ON THE ACCOUNT. NO CONTRIBUTION AND EXPUNGEMENT AGREEMENT FOR SCHOOLER SIGNED BY ALL PARTIES

$275,000.00

$90,000.00

CUSTOMER INVESTED IN MEDICAL CAPITAL, WHICH IS IN RECEIVERSHIP AND SEC CIVIL CHARGES ALLEGING FRAUD HAVE BEEN FILED. ALLEGATIONS INCLUDE NEGLIGENCE, SUITABILITY, MISREPRESENTATION AND FRAUD, VIOLATION OF CA SECURITIES LAWS, BREACH OF FIDUCIARY DUTY, AMONG OTHERS. JOHN SCHOOLER IS NOT THE REGISTERED REP ON THE ACCOUNT.

$749,186.00

$45,000.00

MULTIPLE CLIENT ACTION: EIGHT CLIENTS BOUGHT MEDICAL CAPITAL, PROVIDENT, STRIKER, TSG AND DESERT CAPITAL. MEDICAL CAPITAL, PROVIDENT AND STRIKER ARE IN RECEIVERSHIP WITH SEC FRAUD CHARGES FILED. TSG AND DESERT CAPITAL ARE NOT PERFORMING ACCORDING TO PROJECTION. JOHN SCHOOLER IS NOT THE REGISTERED REPRESENTATIVE ON THE ACCOUNT.

$1,400,000.00

$40,000.00

BETWEEN 02/06 AND 07/09, INVESTORS [CUSTOMER] AND [THIRD PARTY] INVESTED IN SEVERAL PRIVATE AND PUBLIC DPPS AS WELL AS GENERAL SECURITIES THROUGH RR [THIRD PARTY]. INVESTORS ARE CLAIMING BREACH OF FIDUCIARY DUTY, FAILURE TO SUPERVISE AND CONTROL AND, IN THE CASE OF [THIRD PARTY], ELDER ABUSE. CLIENTS ARE ALSO COMPLAINING ABOUT TWO INVESTMENTS THAT WERE NOT SOLD THROUGH WFP SECURITIES, AS THEY WERE GENERAL PARTNERSHIP INTEREST IN LAND. JOHN SCHOOLER IS NOT THE REGISTERED REPRESENTATIVE ON THE ACCOUNT.

$442,500.00

$32,000.00

CLIENT PURCHASED INVESTMENTS IN MEDICAL CAPITAL, PROVIDENT ROYALTIES AND DESERT CAPITAL. MEDICAL CAPITAL AND PROVIDENT ROYALTIES ARE IN RECEIVERSHIP WITH SEC CHARGES FILED AGAINST THE SPONSORS. DESERT CAPITAL HAS NOT PERFORMED ACCORDING TO PROJECTIONS, LARGELY DUE TO THE ECONOMIC DOWNTURN. ALLEGATIONS INCLUDE BREACH OF FIDUCIARY DUTY, BREACH OF WRITTEN CONTRACT, BREACH OF ORAL CONTRACT AND FAILURE TO SUPERVISE AND CONTROL. JOHN SCHOOLER IS NOT THE REGISTERED REPRESENTATIVE ON THE ACCOUNT.

$390,000.00

$20,000.00

CUSTOMER MADE INVESTMENTS IN MEDICAL CAPITAL, PROVIDENT ROYALTIES, STRIKER PETROLEUM, DESERT CAPITAL, TSG REAL ESTATE. THE FIRST THREE OF WHICH ARE IN RECEIVERSHIP WITH SEC CHARGES FILED. DESERT CAPITAL AND TSG HAVE NOT PERFORMED ACCORDING TO PROJECTIONS. ALLEGATIONS INCLUDE BREACH OF FIDUCIARY DUTY, BREACH OF WRITTEN CONTRACT, BREACH OF ORAL CONTRACT, FINANCIAL ABUSE AND FAILURE TO SUPERVISE AND CONTROL. JOHN SCHOOLER IS NOT THE REGISTERED REPRESENTATIVE ON THE ACCOUNT.

$4,085,755.00

$100,000.00

CLIENT MADE SEVERAL INVESTMENTS AND TWO ARE NOT MEETING EXPECTATIONS. ONE IS UNDER RECEIVERSHIP. CLIENT HAS REQUESTED ALL OF HER MONEY BACK, INCLUDING 3 INVESTMENTS MADE IN LAND PURCHASES THAT WERE NOT DONE THROUGH WFP SECURITIES. JOHN SCHOOLER IS NOT THE REGISTERED REPRESENTATIVE ON THE ACCOUNTS.

$315,000.00

$115,000.00

CUSTOMER WRITTEN COMPLAINT RECEIVED ON MARCH 23, 2011. COMPLAINT LETTER IS DATED MARCH 18, 2010. THE DATE ON THE COMPLAINT WAS A TYPE ERROR BY THE CLIENT. IN HER LETTER, THE CLIENT REFERENCES A COMPLAINT LETTER FILED BY HER FATHER, [family member] IN JANUARY, 2010 (OCCURRENCE 1493423), AND HER ONE YEAR DELAY IN WRITING THIS LETTER. THE CLIENT IS CLAIMING THAT SEVERAL TRANSACTIONS TO BE UNSUITABLE INVESTMENTS. ALSO, THE CLIENT CLAIMS WFP SECURITIES FAILED TO CONDUCT ADEQUATE DUE DILIGENCE.

$290,000.00

$1,000,000.00

CLIENTS [CUSTOMERS] INVESTED 02/07-03/09 THROUGH RR[OTHER FIRM EMPLOYEE] AND MADE PURCHASES IN PROVIDENT, STRIKER AND MEDICAL CAPITAL SPONSORED DPPS. IN ALL CASES, THE SEC HAS ALLEGED FRAUD AND IN TWO CHARGES OF A PONZI SCHEME WERE ALSO MADE. PROVIDENT IS IN BANKRUPTCY AND STRIKER AND MEDICAL CAPITAL ARE IN RECEIVERSHIP. JOHN SCHOOLER IS NOT THE REGISTERED REPRESENTATIVE ON THE ACCOUNTS.

$335,000.00

$42,500.00

IN 2006-2008, CLIENTS INVESTED IN PRODUCTS SPONSORED BY PROVIDENT AND STRIKER, BOTH OF WHICH ARE SUBJECT TO SEC CIVIL CHARGES INCLUDING FRAUD. JOHN SCHOOLER IS NOT THE REGISTERED REPRESENTATIVE ON THE ACCOUNTS.

$150,000.00

$15,000.00

CLIENTS PURCHASED MEDICAL CAPITAL. CLIENTS ALLEGE NEGLIGENCE, MISREPRESENTATION AND BREACH OF FIDUCIARY DUTY. CHARGES FILED AGAINST PRINCIPALS OF MEDICAL CAPITAL ALLEGING FRAUD AND PONZI SCHEME BY THE SEC. JOHN SCHOOLER IS NOT THE REGISTERED REPRESENTATIVE ON THE ACCOUNTS.

$150,000.00

$15,000.00

CLIENT ALLEGES NEGLIGENCE, BREACH OF DUTIES, FAILURE TO SUPERVISE AND VIOLATIONS OF CA CORPORATE CODE. MR. SCHOOLER IS NOT THE REGISTERED REPRESENTATIVE ON THE ACCOUNT.

$595,000.00

$75,000.00

CUSTOMER WRITTEN COMPLAINT RECEIVED 1/20/10 REGARDING INVESTMENTS IN MEDICAL CAPITAL AND THE DUE DILIGENCE REVIEW OF MEDICAL CAPITAL PRIOR TO OFFERING BY WFP SECURITIES AND CUSTOMER'S INVESTMENTS. CUSTOMER ALSO INDICATED UNHAPPINESS WITH CERTAIN OTHER INVESTMENTS.

$150,000.00

$1,000,000.00

9/26/02 - ACTIVITY DATE 2/14/03 - COMPLAINT DATE CLIENT EXPECTED ACCT TO LIQUIDATE WHEN VALUE REACHED $144K. ACCT LIQUIDATED WHEN VALUE REACHED $123K. CLIENT WANTED CHECK FOR $144K. SENT CHECK FOR $124,K123.93 ON 2/18/03.

$20,000.00

$15,000.00