CLIENT ALLEGES REGISTERED REPRESENTATIVE COMPLETED PORTIONS OF ACCOUNT DOCUMENT AFTER CLIENT SIGNED. ACTIVITY DATES 04/06/2011-04/07/2011.

THE FORMS IN QUESTION THAT THE CLIENT WAS REFERRING TO WAS THE CUSTOMER ACCOUNT TRANSFER FORM AND THE SPECIALTY FUND ACKNOWLEDGEMENT. CUSTOMER ACCOUNT TRANSFER FORM - THE INFORMATION THAT I ADVISED THE CLIENT THAT I WOULD NEED TO COMPLETE AFTER HIS SIGNING WAS THE ACCOUNT NUMBER AND TRANSACTION ID NUMBER. THESE TWO NUMBERS ARE NOT AVAILABLE UNTIL AFTER THE ACCOUNT IS OPENED. THIS IS THE WAY THAT I WAS TRAINED TO USE THIS FORM BY MY INVESTMENT MANAGER, I WAS TOLD THAT IT IS ACCEPTABLE TO COMPLETE THIS FORM AND ADD THESE TWO NUMBERS WHEN THEY ARE AVAILABLE. SPECIALTY FUND ACKNOWLEDGEMENT - THE INFORMATION THAT I ADVISED THE CLIENT THAT I WOULD NEED TO COMPLETE AFTER HIS SIGNING WAS THE ACCOUNT NUMBER, INQUIRY NUMBER AND TRADE DATE. AGAIN THESE NUMBER ARE NOT AVAILABLE UNTIL AFTER THE ACCOUNT IS OPENED AND THE INQUIRY HAS BEEN SUBMITTED. THE TRADE DATE WAS NOT KNOWN DUE TO THE FACT THAT THIS FUNDS WERE NOT AVAILABLE AT THE TIME OF ACCOUNT OPENING. THIS IS THE WAY THAT I WAS TRAINED TO USE THIS FORM BY MY INVESTMENT MANAGER, I WAS TOLD THAT IT IS ACCEPTABLE TO COMPLETE THIS FORM AND ADD THESE TWO NUMBERS AND TRADE DATE WHEN THEY ARE AVAILABLE. I FEEL THAT I HAVE FOLLOWED THE PROCEDURE THAT WAS REQUIRED OF ME.