Allegations against the Firm for failing to detect an alleged fraud operated away from the Firm by a deceased representative that was with the Firm for less than two months. Claimants invested with the other representative after his departure from the Firm. Claimants allege Registered Representative was indirectly involved.

$14,400,000.00

Allegations against the Firm for failing to detect an alleged fraud operated away from the Firm by a deceased representative that was with the Firm for less than two months. Claimants invested with the other representative after his departure from the Firm. Claimants allege Registered Representative was indirectly involved.

$7,100,000.00

The AAA Arbitration involves Claimants' claims associated with Stephen Swensen, a non-party to the AAA Arbitration and this Agreement, whom was a past investment advisor at Wealth Navigation. In the AAA Arbitration, Claimants assert that they invested approximately $19,500,000.00 in the now worthless fund. The AAA Arbitration includes claims against Wealth Navigation, Fisher, Jones, and Cazier for violations of the Utah Securities Act, breach of fiduciary duty, negligent breach of professional duties, and negligent failure to supervise

$19,500,000.00

$700,000.00

The AAA Arbitration is dismissed, with prejudice, as stated in the settlement. Additionally, the entity Navigation Capital "NavCap" is dismissed from Civil Actions, with prejudice, as stated in the settlement.

Allegations against the Firm for failing to detect an alleged fraud operated away from the Firm by a deceased representative that was with the Firm for less than two months. Claimants invested with the other representative at various times while he was affiliated with differing firms. Claimants allege Registered Representative was indirectly involved.

$15,000,000.00

Allegations against the Firm by claimants for failing to detect an alleged fraud operated away from the Firm, perpetrated by the former representative, who was affiliated with the Firm for less than two months, outside the scope of his activities with the Firm, regarding investments Claimants made with the representative after he left the Firm.

$850,000.00

$55,000.00