Claimants allege they suffered losses in a private placement investment and allege claims for negligence, breach of fiduciary duty, breach of contract, and violations of state securities laws. From 7/2018 - 3/2024

$500,000.00

I at all times conducted myself in an appropriate and professional manner. I deny all allegations of wrongdoing, and intend to vigorously defend myself and the firm against the false, unwarranted and unsubstantiated allegations concerning the investment.

Claimant alleges he suffered losses because of unsuitable investments and alleges claims for breach of fiduciary duty, unauthorized trading, failure to act in claimant's best interest, negligence, state securities law violations and breach of contract. From 2020 to Present.

$300,000.00

$53,000.00

I at all times conducted myself in an appropriate and professional manner, and continue to deny Claimant's incorrect allegations of wrongdoing. The matter was settled, at a fraction of the Claimant's alleged damages, to avoid the costs, resources and risks inherent in arbitration. The amount of the settlement and my contribution was unilaterally determined by the firm. The Claimant remains a customer as of the date of filing this statement.