CLIENT ALLEGES THAT HE ASKED THE FC SELL HIS POSITIONS ON 06/06/08 AND THAT THE FC DID NOT ACT ON THE REQUEST.

$8,222.29

I NEVER RECEIVED ANY CALL FROM [CUSTOMER] TO SELL HIS AMERICAN FUNDS INVESTMENT IN JUNE OF 2008. HE SAYS HE DISCOVERED ON HIS JULY STATEMENT THAT HIS INVESTMENT IN AMERICAN FUNDS HAS NOT BEEN LIQUIDATED, BUT HE DID NOT COMPLAIN ABOUT THE FAILURE TO SELL UNTIL JANUARY 2009. IN NOVEMBER 2008, FOUR MONTHS AFTER HE CLAIMS TO HAVE DISCOVERED THE FAILURE TO SELL, HE DID CALL ME TO SELL SOME, BUT NOT ALL, OF HIS AMERICAN FUNDS, WHICH I DID. DURING THAT NOVEMBER CONVERSATION, HE MENTIONED NOTHING ABOUT MY HAVING FAILED TO SELL HIS ENTIRE AMERICAN FUNDS POSITION IN JUNE OF 2008.

CLIENT ALLEGES THE REPRESENTATIVE PURCHASED MUTUAL FUND WITHOUT AUTHORIZATION.

$25,000.00

$23,000.00

THE CUSTOMER'S ALLEGATIONS ARE FALSE. THE INVESTMENT WAS MADE IN THE SUMMER OF 2000 AND THE COMPLAINT WAS ISSUED AFTER INVESTMENT LOSSES WERE NOTED ON THE FIRST QUARTER 2001 STATEMENT. IT IS MY UNDERSTANDING THAT THERE WAS A DISAGREEMENT BETWEEN FAMILY MEMBERS REGARDING THE INITIAL INVESTMENT AND THE SUBSEQUENT LOSSES. I FEEL THAT THERE WAS NO WRONG DOING ON MY PART AND A PROVIDED THE CLIENT WITH A PRODUCT IN LINE WITH HER INVESTMENT OBJECTIVES AND RISK TOLERANCE. SHE WAS AWARE OF THE TRANSACTION, AUTHORIZED IT, AND SIGNED AND/OR INITIALED ALL REQUIRED FORMS. FURTHERMORE, IT IS MY UNDERSTANDING THAT WASHINGTON MUTUAL SETTLED THIS COMPLAINT PRIMARILY TO AVOID THE COSTS OF ARBITRATION.