Allstate Financial Services, LLC

Discharged

Loss of confidence after alleged violation of firm policy regarding use of electronic signatures.

CUSTOMERS ALLEGE THAT REPRESENTATIVE MISLED THEM IN THE SALE OF A WOODMEN VARIABLE ANNUITY. CUSTOMERS CLAIM THAT THEY REPEATEDLY TOLD THE REPRESENTATIVE THAT THEY HAD NO INTEREST IN THE VARIABLE ANNUITY. THEY FURTHER CLAIM THAT THEY WERE NEVER GIVEN A PROSPECTUS FOR ANY PRODUCT AND THAT THEY HAVE NVEVER RECEIVED DELIVERY OF ANY TYPE OF CERTIFICATE FROM WOODMEN. THEY ARE ASKING FOR THE RECISSION OF THE CONTRACT WITHOUT PENALTY.

$123,024.00

REPRESENTATIVE DENIES EACH AND EVERY ALLEGATION MADE BY THE CUSTOMERS.

TD AMERITRADE INC.

Discharged

MR. RIESBERG VIOLATED FIRM POLICY IN THAT HE SIGNED AND SUBMITTED AN ACCOUNT APPLICATION ON BEHALF OF A CLIENT. THE CLIENT COMPLETED AN INITIAL "EASY" FORM, HOWEVER, BACK OFFICE WAS UNABLE TO OPEN THE ACCOUNT TYPE USING THE EASY FORM AND REQUIRED A NEW APPLICATION. CLIENT WAS AWARE OF THE ACCOUNT.