9/25/08-10/31/08;THE CLIENT ALLEGED THAT HIS INSTRUCTIONS WERE NOT FOLLOWED ON THE SALE OF HIS MUTUAL FUNDS. THE CLIENT STATED THAT THE INSTRUCTIONS WERE TO SELL ON 9/25/08 AND THE TRADES DID NOT TAKE PLACE UNTIL 10/6/08.

$5,000.00

$2,819.55

THE FA ADVISED THAT THE CLIENT CONTACTED HIM ON SEVERAL OCCASIONS TO LIQUIDATE HIS ACCOUNT, BUT DURING THE COURSE OF THEIR CONVERSATION HE WOULD ALWAYS CHANGE HIS MIND. THE FA CONTACTED THE FIELD SERVICES DEPARTMENT AND IT WAS DECIDED THAT A LIQUIDATION LETTER WOULD BE SENT TO THE CLIENT FOR HIS SIGNATURE, SINCE HE HAD ONLY OWNED THESE MUTUAL FUNDS FOR TEN MONTHS. THE FA ADVISED THE CLIENT TO SIGN AND RETURN THIS DOCUMENT, IF HE DECIDED TO SELL THE FUNDS. THE FA WAS OUT OF TOWN ON 10/2/08 AND 10/3/08 AND UPON HIS RETURN TO THE OFFICE ON MONDAY, 10/6/08 THE FA REVIEWED THE DOCUMENT. HE LIQUIDATED THE MUTUAL FUNDS ON THAT DAY AND SPOKE WITH THE CLIENT ABOUT TRANSFERRING THESE FUNDS TO THE CLIENT'S BANK. SINCE THE SIGNED REQUEST WAS RECEIVED BACK FROM THE CLIENT, WHILE THE FA WAS OUT OF THE OFFICE, I FELT THAT HE WAS DUE THE VALUE OF THE MUTUAL FUNDS ON THE DATE THAT THE LETTER WAS RECEIVED. THIS AMOUNT EQUALED $2,819.55 AND THE CLIENT SIGNED THE SETTLEMENT OF CLAIM LETTER SUPPORTING THIS AMOUNT.