The customer alleges that in May of 2020, the Registered Representative recommended an unsuitable, high-risk, illiquid investment and breached his fiduciary duty.

$21,000.00

I vehemently deny any wrongdoing and assert that the allegations are completely without merit. The investments about which the customer complained were suitable and were recommended based on the customer's objectives, goals and financial circumstances and were offered only after his review of all material documentation related to the investment. The customer confirmed in writing that they not only received the requisite investment documentation/disclosures, but that he fully understood the characteristics and risks of the investments. At all times, I put the customer's interest first and I will vigorously defend this matter to the fullest extent of the law.

1. 1 COUNT 2. FELONY 3. GUILTY 4. N/A

FELONY

A. DIVERSION PROGRAM COMPLETED B. 10/01/1988 APPROXIMATE C. DIVERSION PROGRAM. D. 6-MONTHS E. 11/01/1988 APPROXIMATE. F. UNKNOWN G. UNKNOWN

ON OR ABOUT JUNE 1, 1988 ARRESTED FOR POSSESION OF A CONTROLLED SUBSTANCE. WAS DETAINED, POSTED BAIL, RETURNED TO PALM SPRING COURT FOR HEARING. GIVEN CHOICE FOR DIVERSION PC-1000. UPON COMPLETION OF DIVERSION PROGRAM, COURT STATED THAT DISPOSITION OF CHARGE AND ARREST WOULD NOT HAVE OCCURED OR EXISTED. SUCCESSFULLY COMPLETED PROGRAM APPROXIMATELY 6 MONTHS AFTER INITIAL ARREST.