CUSTOMER ALLEGES THAT INVESTMENTS SELECTED BY OUTSIDE MONEY MANAGER WERE MISREPRESENTED AND UNSUITABLE.

ON NOVEMBER 11, 2001, THE CLIENT PURCHASED $65,000 IN A FORD MOTOR COMPANY BOND (CUSIP 345370CA6) AND ON MARCH 7, 2002, THE CLIENT PURCHASED $35,000 IN A GENERAL MOTORS CORP BOND (CUSIP 37042GWF9). THE CLIENT AND REPRESENTATIVE ASSUMED THAT BOTH BONDS CONTAINED ESTATE FEATURES (A.K.A. DEATH PUT) PER THE INFORMATION PROVIDED BY PERSHING LLC, CLEARING AGENT FOR UVEST FINANCIAL SERVICES GROUP, INC., WHEN THEY WERE PURCHASED. THE FEATURE WOULD ALLOW THE HOLDER TO PUT THE BONDS BACK TO THE ISSUER AT PAR REGARDLESS OF THE UNDERLYING PRICE. THE CLIENT PASSED AWAY IN LATE 2004. THE EXECUTOR CALLED TO EXERCISE THE ESTATE FEATURE. IT WAS THEN REALIZED THAT THE BONDS DID NOT HAVE THIS FEATURE. EXECUTOR EXPECTED PAR SINCE THAT WAS HOW THEY WERE DISCLOSED TO THE CLIENT WHEN HE PURCHASED THEM.

$12,641.87

$12,641.87

THIS WAS A VERBAL COMPLAINT. SINCE INCORRECT INFORMATION WAS PROVIDED BY PERSHING LLC AND A TRADE PLACED ON THIS INFORMATION, UVEST LIQUIDATED THE INVESTMENT AS INDICATED BY THE EXECUTOR AND MADE UP THE DIFFERENCE IN WHAT WAS RECEIVED AND PAR VALUE FOR THE BONDS, WHICH WAS EXPECTED BY THE EXECUTOR. MATTER RESOLVED.

DEFRAUDING TAXI DRIVER-FAILURE TO PAY CAB FARE

MISDEMEANOR

EVEN THOUGH I INITIALLY PLED GUILTY TO THE CHARGE, I WAS TOLD THAT IF I PAID A FEE AND PERFORMED COMMUNITY SERVICE, IT WOULD BE DISMISSED. AS THE ENCLOSED RECORDS INDICATE I DID BOTH THOSE THINGS TO THE COURTS SATISFACTION.

Not Provided