Customer gave instructions to keep certain assets safe from market risk. Adviser erred by investing those assets in the market as part of the customer's overall portfolio consistent with the Client Suitability Profile. As a result, those assets lost value. Adviser acknowledged the error and customer was made whole by reimbursing client the amount that would not have been lost if the assets in question would have been kept in cash pursuant to the client's instructions.

$8,927.08

$8,927.08

Adviser acknowledges making an unintentional error by investing the assets in the market pursuant to the customer's Client Suitability Profile and not keeping the assets in cash to avoid market risk pursuant to client's instructions. Adviser has reimbursed the client for losses suffered as a result of the error.