[CUSTOMER] COMPLAINED DUE TO THE FACT THAT HE LOST MONEY DURING THE MASSIVE CORRECTION OF 2000-2001. ACTIVITY DATE 11/11/1999.

$100,000.00

$25,000.00

In 1999, the time period that was mentioned in this complaint, I worked as a junior broker with the primary responsibility of establishing new customer relationships for the firm. I want to clarify that I was not responsible for any of the trades or recommendations under question, and neither was I responsible for any of the arbitration settlement awarded to the client. My role was limited to customer acquisition, and I had no involvement in the disputed transactions.

CRIMINAL POSSESSION CONTROLLED SUBSTANCE 7TH DEGREE

A CONDITIONAL DISCHARGE FOR A PERIOD OF ONE YEAR AND A MANDATORY SURCHARGE OF $90

This event pertains to a substance possession incident that occurred in 1998 while I was still a college student. As I lacked the financial means to obtain adequate legal representation to clear my name, I instead chose to settle the case by plea-bargaining to a conditional one-year discharge and a court-imposed fine of $90. Subsequently, the charge was dismissed. I am currently in the process of having this incident expunged from my records.