Claimants allege, inter alia, excessive trading with respect to investments from May 2011 to December 2015.

$4,458,000.00

Claimants allege, inter alia, Excessive trading with respect to investments - July 2014 to December 2016

$390,000.00

Claimants allege, inter alia, Excessive trading with respect to investments - July 2014 to December 2016

$475,000.00

Claimants allege, inter alia, Excessive trading with respect to investments - July 2014 to December 2016

$3,600,000.00

Claimants alleged, inter alia, excessive trading with respect to transactions in accounts - 2011 to 2016.

$1,200,000.00

MSWM

Discharged

Concerns related to employee's exercise of discretion and investment strategy.

CLAIMANTS ALLEGE UNSUITABLE RECOMMENDATIONS, MISREPRESENTATIONS AND OMISSIONS IN CONNECTION WITH THE PURCHASE OF STRUCTURED NOTES.

$377,187.00

$170,000.00

CLAIMANT ALLEGES BREACH OF FIDUCIARY DUTY, NEGLIGENCE, FRAUD, FRAUDULENT INDUCEMENT, NEGLIGENT SUPERVISION, MISREPRESENTATION AND OMISSIONS, SUITABILITY AND FAILURE TO SUPERVISE REGARDING ITS ACCOUNTS AND PURCAHSES OF LEHMAN BROTHERS PRINCIPAL PROTECTED NOTES. TIME FRAME:2007 TO THE PRESENT

$700,000.00

$345,500.00

CLAIMANT ALLEGES SECURITIES FRAUD, COMMON LAW FRAUD AND MISREPRESENTATION, BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT, FAILURE TO DISCLOSE A MATERIAL CONFLICT OF INTEREST, NEGLIGENCE, FAILURE TO SUPERVISE, RESPONDEAT SUPERIOR AND CONTROL PERSON LIABILITY REGARDING THE INVESTMENTS IN HIS ACCOUNTS AND PURCHASES OF LEHMAN BROTHERS PRINCIPAL PROTECTED NOTES. TIME FRAME: 2007 TO THE PRESENT.

$650,000.00

$225,000.00

TIME FRAME: 2007 TO THE PRESENT CLAIMANT ALLEGES BREACH OF FIDUCIARY DUTY, MISREPRESENTATION AND OMISSIONS, OVER CONCENTRATION, BREACH OF CONTRACT, FAILURE TO DISCLOSE A MATERIAL CONFLICT OF INTEREST, COMMON LAW FRAUD, NEGLIGENCE, FRAUDULENT INDUCEMENT AND FAILURE TO SUPERVISE REGARDING HER ACCOUNTS AND PURCHASES OF LEHMAN BROTHERS PRINCIPAL NOTES.

$425,000.00

$235,000.00

TIME FRAME: 2007 TO THE PRESENT CLAIMANT ALLEGES SECURITIES FRAUD, COMMON LAW FRAUD AND MISREPRESENTATION, UNSUITABILITY, BREACH OF FIDUCIARY DUTY, FAILURE TO DISCLOSE A MATERIAL CONFLICT OF INTEREST, NEGLIGENCE, FAILURE TO SUPERVISE, RESPONDEAT SUPERIOR AND CONTROL PERSON LIABILITY REGARDING THE INVESTMENTS IN THEIR ACCOUNTS, INCLUDING LEHMAN BROTHERS NOTES AS WELL AS COMMON STOCK OF FINANCIAL INSTITUTIONS.

$654,000.00

$225,000.00

CLAIMANTS ALLEGE SECURITIES FRAUD, COMMON LAW FRAUD AND MISREPRESENTATION, UNSUITABILITY BREACH OF FIDUCIARY DUTY, FAILURE TO DISCLOSE A MATERIAL CONFLICT OF INTEREST, NEGLIGENCE, FAILURE TO SUPERVISE IN VIOLATION OF FEDERAL AND STATE SECURITIES LAWS AND FINRA RULES, RESPONDEAT SUPERIOR, CONTROL PERSON LIABILITY AND FAILURE TO SUPERVISE WITH REGARD TO THEIR PURCHASE OF STRUCTURED PRODUCTS ISSUED BY LEHMAN BROTHERS. TIME FRAME: 11/2007-3/2008.

$325,000.00

$155,000.00

CLIENT ALLEGES THE FINANCIAL ADVISORS PURCHASE OF STRUCTURED PRODUCTS WAS INAPPROPRIATE FOR ACCOUNT. CLIENT ALLEGES THE DECISION WAS MADE BY THE FINANCIAL ADVISORS TO PURCHASE RISKY, PARTIALLY PROTECTED STRUCTURED PRODUCT NOTES. TIME FRAME: MARCH 28, 2008 - JULY 20, 2011

CLAIMANT ALLEGES THAT HIS ACCOUNTS HAD AN OVERCONCENTRATION IN FINANCIAL SECTOR SECURITIES, CAUSING LOSSES.

$1,400,000.00

$400,000.00

IN THE FOREGOING ARBITRATION, I WAS NOT NAMED AS A RESPONDENT. BECAUSE I WAS NOT A PARTY TO THE ARBITRATION, I HAD NO CONTROL WITH RESPECT TO THE RESOLUTION OF THE MATTER, AND THUS THE SETTLEMENT DOES NOT REFLECT ANY ACKNOWLEDGEMENT OR ADMISSION BY ME OF ANY LIABILITY OR ANY MISCONDUCT WHATSOEVER. FURTHERMORE, UBS, WHICH DENIED ALL OF THE CLAIMS ASSERTED BY THE CUSTOMER, DID NOT ACKNOWLEDGE OR ADMIT ANY LIABILITY AND RESOLVED THIS ISSUE TO AVOID THE POTENTIAL COST AND UNCERTAINTIES OF THE ARBITRATION FORUM. FINALLY, AS A REFLECTION OF THE FACT THAT I HAD NO PERSONAL INVOLVEMENT IN THE OUTCOME OF THE ARBITRATION, I DID NOT , NOR WAS I ASKED TO PERSONALLY CONTRIBUTE ANY AMOUNT TO THE SETTLEMENT.

TIME FRAME: 2008 CLAIMANT ALLEGES THAT RESPONDENTS MADE UNSUITABLE RECOMMENDATIONS AND FAILED TO DIVERSIFY HER ACCOUNTS CAUSING UNSPECIFIED LOSSES DURING 2008.

$100,000.00

$117,000.00

TIME FRAME: AUGUST TO DECEMBER 17, 2008 CLIENT ALLEGES THAT THE FA MISMANAGED HER ACCOUNT (DISCRETIONARY MANAGED ACCOUNT) BY DISREGARDING AND DISOBEYING HER DIRECT INSTRUCTIONS. DAMAGES ESTIMATED TO BE IN EXCESS OF $5,000.

$5,000.00

TIME FRAME: JANUARY 2008 TO PRESENT. CLIENT ALLEGES THAT THE INVESTMENT (LEHMAN STRUCTURED PRODUCTS) WAS INAPPROPRIATE FOR THEIR LEVEL OF RISK. CLIENT FURTHER STATES THAT IT WAS NOT EXPLAINED THE RISK INVOLVED IN THESE HOLDINGS AND WERE MISREPRESENTED AS TO THE TYPE OF INVESTMENT AND MEANS AS TO HOW THE PRINCIPAL WAS PROTECTED. ESTIMATED TO BE IN EXCESS OF $5,000.

$5,000.00