Time Frame: December 13, 2019 to January 23, 2020 What were the allegations against the individual? . The client is alleging the FA omitted disclosures on the 10b5-1 plan The alleged damages are estimated to be in excess of $5,000.00.

$127,346.94

Clients complaint criticized the UBS 10b-5-1 trading desk for failure to work a large order which was entered as a market order where the execution of the shares adversely affected the underlying stock price. Executing a large order over time instead of all at once as to not impact the security price is standard industry practice. The trading desk's failure to properly enter the order resulted in a loss to the client. The client Complaint did not allege any wrongdoing by Jeffrey Goodstein and the client has no grievances with the FA team.

Time Frame: December 13, 2019 to January 23, 2020 What were the allegations against the individual? . The client is alleging the FA omitted disclosures on the 10b5-1 plan The alleged damages are estimated to be in excess of $5,000.00.

$65,571.48

Clients complaint criticized the UBS 10b-5-1 trading desk for failure to work a large order which was entered as a market order where the execution of the shares adversely affected the underlying stock price. Executing a large order over time instead of all at once as to not impact the security price is standard industry practice. The trading desk's failure to properly enter the order resulted in a loss to the client. The client Complaint did not allege any wrongdoing by Jeffrey Goodstein and the client has no grievances with the FA team.

Time Frame: December 13, 2019 to January 23, 2020 What were the allegations against the individual? . The client is alleging the FA omitted disclosures on the 10b5-1 plan The alleged damages are estimated to be in excess of $5,000.00.

$204,081.63

Clients complaint criticized the UBS 10b-5-1 trading desk for failure to work a large order which was entered as a market order where the execution of the shares adversely affected the underlying stock price. Executing a large order over time instead of all at once as to not impact the security price is standard industry practice. The trading desk's failure to properly enter the order resulted in a loss to the client. The client Complaint did not allege any wrongdoing by Jeffrey Goodstein and the client has no grievances with the FA team.