CLIENT ALLEGES FINANCIAL ADVISOR PLACED HER IN RISKY STOCKS. THE ALLEGED DAMAGES ARE ESTIMATED TO BE IN EXCESS OF $5,000. TIME FRAME: MAY 11, 2004 - JULY 12, 2012.

TIME FRAME: JANUARY 2008 THRU FEBRUARY 9, 2009 CLIENT ALLEGES THAT HE WAS TOLD THE BONDS PURCHASED WERE FIXED RATE BONDS BUT AFTER REVIEWING THE ACCOUNT ONLINE, DISCOVERED THAT THEY HAD A VARIABLE RATE AND THAT THE INVESTMENTS HAD LOST MONEY. DAMAGES ESTIMATED TO BE IN EXCESS OF $5,000

$5,000.00

$20,030.45

Broker Comment: This was a trading error. Client and I reviewed the firm's bond inventory. We selected two bonds neither of us noticing the coupon was not fixed. A few months later the mistake was identified and the firm bought the bonds back at the full purchase value. The client continued to work with me as their advisor.

AFTER MAY 2000, CLAIMANTS ALLEGE POOR PERFORMANCE AND UNSUITABLE INVESTMENTS RESULTED IN LOSSES.

$950,000.00

$35,000.00

Broker Comment: Matter involved a retired dentist with over 30 years of investment experience. The alleged incident took place during the "Dot.com" crash of 2000 and 2001. The client continued working with me until 2008 and only after transferring to another firm did he file a claim for the alleged incident 8 years prior. UBS decided to forgo the expense of litigation and made a business decision to settle the case. Based on the facts of the case, I was not required by the firm to contribute financially to the settlement.

CLAIMANT ALLEGES THAT HIS BROKER MADE UNSUITABLE RECOMMENDATIONS TO INVEST HEAVILY INTO MUTUAL FUNDS WITH TECHNOLOGY STOCKS. CLAIMANT ALSO ALLEGES UNAUTHORIZED MUTUAL FUND TRADING AND MISREPRESENTATIONS BY HIS BROKER.

$187,854.98

$28,350.00

Broker Comment: Matter involved a retired businessman with over 20 years of investment experience. The alleged incident took place during the "Dot.com" crash of 2000 and 2001. Prior to working with UBS, the client had previously sued Smith Barney for similar allegations. UBS decided to forgo the expense of litigation and made a business decision to settle the case. Based on the facts of the case, I was not required by my firm to contribute financially to the settlement.