Customer opened an account with the firm in August, 2018. Customer transferred securities into that account from another firm. Customer also opened an account with the firm's investment advisory affiliate and authorized the liquidation of a portion of the holdings in her cash account to fund her managed account. These transactions took place in August of 2018. In April of 2019, customer lodged an oral complaint alleging that the amount of securities holdings liquidated from her cash account was in excess of the amount authorized resulting in a greater tax event than she anticipated.

$5,000.00

$43,000.00

Customer opened an account with the firm in August, 2018. Customer transferred securities into that account from another firm. Customer also opened an account with the firm's investment advisory affiliate, which was funded by the liquidation of a portion of the holdings in her cash account. These transactions took place in September of 2018. In April of 2019, customer lodged an oral complaint alleging that she did not authorize the liquidation of holdings in her cash account and suffered damages as a result.

$5,000.00

$15,000.00

Customer purchased variable annuity contract in September, 2014. Customer alleges annuity contract is unsuitable for her at her age. Customer had already surrendered contract at the time of her complaint.

$25,948.44

SON IN HIS CAPACITY OF ATTORNEY-IN-FACT FOR HIS MOTHER,CLAIMS THAT AN INDEXED ANNUITY PURCHASE BY HIS MOTHER WAS UNSUITABLE.

$9,000.00

ISSUING INSURANCE CARRIER OPTED TO ALLOW CLIENT TO EXERCISE HER OPTION UNDER THE FREE-LOOK PROVISION IN THE OCNTRACT.