THE CLIENT AND HER DAUGHTER STATES THE IR SOLD TEKTRONIX WITHOUT AUTHORIZATION. THE CLIENT STATES THE FUNDS FROM TEKTRONIX WAS PUT INTO ANNUITIES AND THE SHE DID NOT RECEIVE THE CONTRACT ON THE ANNUITIES. THE CLIENT STATES SHE LOST $6,000 DUE TO THE SALE OF THE TEK.

$6,000.00

OUR RECORDS INDICATE TEK AND DRE WERE LIQUIDATED ON 6/28/05; ON 6/29/05, THREE LORD ABBETT FUNDS WERE PURCHASED. MONEY MARKET WAS USED TO COVER THE DIFFERENCE BETWEEN WHAT WAS PURCHASED AND WHAT WAS LIQUIDATED. THE CLIENT RECEIVED A $100K BREAKPOINT ON THE PURCHASE OF THE LORD ABBETT FUNDS. ON 7/1/06, FEDERATED AMERICAN LEADERS, CLASS C AND LORD ABBETT BOND DEBENTURE, CLASS C, WERE LIQUIDATED. HARTFORD LEADERS EDGE ANNUITY WAS PURCHASED USING THE PROCEEDS FROM THESE FUNDS AND THE REMAINING AMOUNT IN MONEY MARKET. IT IS OUR UNDERSTANDING THE IR REVIEWED WITH THE CLIENT SHE COULD REDUCE THE RISK OF HAVING A LARGE PERCENTAGE OF HER PORTFOLIO IN TEK WITH DIVERSIFICATION. THE CLIENT AGREED THE HARTFORD LEADERS EDGE ANNUITY BECAUSE OF THE ABILITY TO PROVIDE DIVERSIFICATION, THE GUARANTEED DEATH BENEFIT AND THE DOLLAR COST AVERAGING PROGRAM. WE HAVE A COPY OF THE DELIVERY RECEIPT SIGNED BY THE CLIENT INDICATING SHE RECEIVED THE CONTRACT ON 7/28/05. THE REQUEST FOR REIMBURSEMENT IS RESPECTFULLY DENIED.