08/11/08-02/23/2009; CLIENT STATES AT THE ADVICE OF THE FA HE DID NOT SELL HIS COMSTOCK FUND IN AUGUST 2008. CLIENT INDICATES HE HAS A LOSS OF $7,000.00 BASED ON THE FA'S ADVICE AND HE FEELS THE FA COULD HAVE CALLED HIM DURING THIS MARKET DOWNTURN.

$7,000.00

ACCORDING TO THE FA, CLIENT CONTACTED HIS OFFICE ON 8/11/08 INQUIRING ABOUT THE VALUE OF HIS INVESTMENT IN VAN KAMPEN COMSTOCK FUND. THEY SPOKE AGAIN ON 8/18/08 WHEN THE VALUE OF THE FUND WAS $16,926. FA AND CLIENT DISCUSSED THE POSSIBILITY OF MOVING $10,000 INTO A CERTIFICATE OF DEPOSIT, BUT FA FELT CLIENT'S LONG-TERM NEEDS WERE BETTER SERVED REMAINING IN THE FUND AND THE CLIENT CONSENTED. THEN IN FEBRUARY, 2009 CLIENT EXPRESSED CONCERNS AND FA SUGGESTED MOVING THE FUNDS INTO VAN KAMPEN'S FIXED INCOME FUNDS TO AVOID FURTHER COMMISSIONS. IT WAS AT THIS POINT CLIENT GAVE THE ORDER TO SELL. EDWARD JONES HAS BUILT ITS BUSINESS ON A BUY QUALITY AND HOLD ON THROUGH ALL KINDS OF TEMPORARY CHANGES IN THE MARKETS. WE BELIEVE THAT MAJOR DROPS IN THE MARKET ARE TEMPORARY, AND ALMOST IMPOSSIBLE TO BE TIMED. BUT BY HAVING A QUALITY, DIVERSIFIED PORTFOLIO OF INVESTMENTS, WE BELIEVE CLIENTS CAN RIDE OUT THESE STORMS. THIS IS SHOWN IN THE RECENT MARKET MOVEMENTS. THE MARKET DECLINES RECENTLY HAVE UNNERVED EVEN THE MOST EXPERIENCED OF INVESTORS. HOWEVER, IN JUST THE SHORT TIME SINCE WE RECEIVED THE CLIENT'S LETTER, THE FUND VALUE WOULD HAVE ALREADY COME BACK TO A VALUE OF APPROXIMATELY $12,600. WHILE WE ARE NOT SAYING THE RECENT DECLINES ARE MERELY A DOWN TICK IN THE MARKET, IT DOES ILLUSTRATE HOW QUICKLY A MARKET CAN CORRECT ITSELF IF A PORTFOLIO IS PROPERLY BALANCED IN QUALITY.

THEFT (CLASS D FELONY) IN 35-43-4-2(a)

Dismissed