THIS COMPLIAINT WAS RECEIVED BY THE REGISTERED REPS. PRIOR FIRM. AFTER A CONTINUED PERIOD OF VOLATILE MARKET ACTIVITY DURING WHICH THE FINANCIAL MARKETS HAVE REACHED RECORD LOWS, CUSTOMER NOW CLAIMS THAT A PURCHASE HE EFFECTED APPROXIMATLEY TWO YEARS AGO WAS UNAUTHORIZED. ADDITIONALLY, WITH RESPECT TO A SEPARATE TRANSACTION THAT WAS ALSO EFFECTED APPROXIMATELY TWO YEARS AGO, CUSTOMER NOW CLAIMS HE WAS UNAWARE HE HAD PURCHASED WARRANTS, DESPITE THE FACT IT WAS DISCLOSED ON THE TRADE CONFIRMATION HE RECEIVED AND REFLECTED ON HIS SUBSEQUENT MONTHLY ACCOUNT STATEMENTS. THE REGISTERED REPS. PRIOR FIRM HAS DENIED AND CLOSED THE COMPLAINT. BOTH THE REGISTERED REP. AND HIS PRIOR FIRM FEEL THE CLAIM IS WITHOUT MERIT.

$20,143.00