RBC Capital Markets, LLC

Discharged

Employee was in violation of the Firm's Employee Alteration and Execution of Client Documents Policy.

CNT1-POSS OF MARIJ. FOR SALE, FELONY, NO PLEA CNT2-POSS OF CONCENTRATED CANNABIS, FELONY, NO PLEA CNT3-MAINTENANCE OF LOCATION FOR UNLAWFUL ACTIVITIES, FELONY, NO PLEA CNT4-POSS CONTROLLED SUBSTANCE, MISD, NO CONTEST CNT5-AIDS, ASSISTS, OR ABETS THE PERPETRATION OF THE UNLAWFUL SMOKING OR USE OF A CONTROLLED SUBSTANCE, MISD, NO CONTEST

FELONY

CNTS 1-3, DA'S OFFICE DISMISSED COMPLAINTS, 10/29/01 CNT 4, DEFERRED ENTRY OF JUDGMENT, 2 YEARS INFORMAL PROBATION, START 10/29/2001 COMPLETION DATE 10/27/2003, NO FINES ASSESSED CNT 5, DEFERRED ENTRY OF JUDGMENT, 2 YRS PROBATION, START 10/29/01, COMPLETE 10/27/03, 30 DAYS IN JAIL SERVED VIA HOME CUSTODY COMMENCED ON 12/11/01, 1/2002 COMPLETED, NO FINES ASSESSED.

I WAS YOUNG & NAIVE. I HAD NO KNOWLEDGE OF MY EX'S DRUG PROBLEM AND LEARNED THAT ASSOCIATION MAKES YOU JUST AS GUILTY AS DOING IT. I HAVE HAD NO CONTACT WITH HIM SINCE THE INCIDENT.

CHRGE1, POSS. OF CONTROLLED SUBST., FELONY, NO CONTEST CHRGE2, POSS, OF NOT MORE THAN 28.5GM MARJ, DISMISSED CHRGE3, ACCESSORY TO A FELONY, FELONY, DISMISSED

FELONY

CHARGE 1 - COMPLETED DEFERRED ENTRY OF JUDGEMENT PROGRAM ON 7/3/00 AND CHARGES DISMISSED CHARGE 2 - DISMISSED ON 5/12/1999 CHARGE 3 - DISMISSED ON 5/12/1999

MY EX BOYFRIEND VIOLATED HIS PAROLE ON 2/18/99 AND THE HOUSE I LIVED IN WAS SEARCHED IN ACCORDANCE WITH STATE LAW. AS HE WAS NOT IN THE HOUSE AT THE TIME, I WAS CHARGED IN LIEU OF HIS ABSENCE. THE OFFICERS ACKNOWLEDGED I WAS UNAWARE OF THE ILLEGAL SUBSTANCES IN THE HOUSE, BUT I WAS STILL GUILTY BY ASSOCIATION. I WAS GUILTY OF BEING NAIVE.