ASSOCIATED BOND BROKERS, INC.

Discharged

VIOLATION OF RULES AND REGULATIONS AS WELL AS COMPANY POLICIES AND PROCEDURES.

I worked for Associated Bond Brokers for 2 ½ years where I was primarily a broker's assistant and then became licensed and worked institutional odd lot municipal trades. The office culture at Associated was fairly unstable and not having cell phones on the trading desk would go in and out of being office policy. While others still used their personal phones at work, I admittedly did so more than others. A colleague and I were called into an office and our supervisor asked to go through our cell phones and as she did, she found a conversation between that colleague and I where I discussed, honestly, how I felt about the current office environment. I was then notified that I was terminated. I was never informed of any allegations outside of disregarding company policy or anything involving securities transactions, nor would I have expected to have been.