Client alleges that the Financial Advisor and plan administrator provided poor advice in August of 2013 when establishing his Defined Benefit and 401K Plans.

$462,335.10

$75,000.00

After completion of the firm's investigation, client's claim was resolved in the amount of $75,000.00. Financial Advisor was not required to contribute to the resolution.

POSESSION OF FORGED INSTRUMENT (1 COUNT), MISDEMEANOR, PLEAD INNOCENT, NOT INVESTMENT RELATED.

MISDEMEANOR

I WAS PUT ON PROBATION FOR 1 YEAR IN MARCH OF 1989. AS I RECALL, THE OFFENSE WAS DROPPED, BUT IF I COMMITTED ANOTHER CRIME IN CO, IT WOULD BE REENACTED. I COMMITTED NO OTHER OFFENSES. I BELEIVE I WAS FINED, BUT DO NOT RECALL AMOUNT, AND PAID AT THE COURT DATE.

I WAS A MINOR WHEN THE OFFENSE OCCURED. I WAS VISITING A FRIEND IN VAIL, CO WHO HAD SEVERAL ROOMMATES. ONE NIGHT DURING THE VACATION, WE ORDERED A PIZZA. MY FRIEND GAVE ME A CHECK WHEN THE DELIVERY GUY CAME AND I PRESENTED THE CHECK. IT COULD HAVE NOT BEEN FOR MORE THAN $30.00. THE NAME ON THE CHECK WAS NOT MY FRIENDS, AND I ASSUMED IT WAS ONE OF HIS ROMMATES. THE CHECK HAD BEEN PICKED UP FROM THE SIDEWALK BY MY FRIEND AND FORGED BY MY FRIEND. I WAS ARRESTED BECAUSE I PRESENTED IT TO THE DELIVERY DRIVER. I AM 99% SURE THE CHARGE WAS A MISDEMEANOR.