CLAIMANT ALLEGES BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT AND VIOLATION OF FINRA RULE, NEGLIGENCE, VIOLATION OF THE KANSAS UNIFORM SECURITIES ACT, AND VIOLATION OF THE KANSAS CONSUMER PROTECTION ACT.

$40,000.00

WITHOUT ADMITTING LIABILITY, AND FOR PURELY ECONOMIC REASONS, THIS CASE WAS SETTLED AT A MEDIATION. THE CLAIMANTS SETTLED FOR SIGNIFICANTLY LESS THAN WHAT THEY WERE DEMANDING. THE SETTLEMENT AMOUNT IS MUCH LESS THAN WHAT IT WOULD HAVE COST TO DEFEND THE CASE THROUGH THE CONCLUSION OF AN ARBITRATION HEARING.

CLAIMANT ALLEGES NEGLIGENCE, BREACH OF FIDUCIARY DUTY, AND BREACH OF CONTRACT, VIOLATION OF KANSAS SECURITIES ACT, FRAUD, AND VIOLATION OF KANSAS CONSUMER PROTECTION ACT.

$225,000.00

$59,000.00

REPRESENTATIVE DISPUTES ALL ALLEGATIONS. ANY LOSSES OCCURRED DUE TO CUSTOMER GIVING INSTRUCTIONS TO NOT PLACE ANY TRADES. WITHOUT ADMITTING LIABILITY, AND FOR PURELY ECONOMIC REASONS, THIS CASE SETTLED AT A MEDIATION. THE CLAIMANTS SETTLED FOR SIGNIFICANTLY LESS THAN WHAT THEY WERE DEMANDING. THE SETTLEMENT AMOUNT IS MUCH LESS THAN WHAT IT WOULD HAVE COST TO DEFEND THE CASE THROUGH THE CONCLUSION OF AN ARBITRATION HEARING.

CLAIMANT ALLEGES REPRESENTATIVE LIQUIDATED HOLDINGS WITHOUT AUTHORIZATION.

$46,528.00

CLAIMANT ALLEGES REPRESENTATIVE MISREPRESENTED TERMS OF VARIABLE ANNUITY INVESTMENT AND UNSUITABILITY.

$48,434.13